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The National Dam Safety Program

Model State Dam Safety Program


FEMA 316/July 2007

Federal Emergency Management Agency


www.fema.gov
Association of State Dam Safety Officials
www.damsafety.org

TABLE OF CONTENTS
ACKNOWLEDGMENTS ........................................................................................ i
INTRODUCTION ................................................................................................. iii
CHAPTER I ........................................................................................................... 1
LEGISLATION AND REGULATIONS
CHAPTER II .......................................................................................................... 6
PERMITTING/APPROVAL OF PLANS/AUTHORIZATION TO
IMPOUND
CHAPTER III ....................................................................................................... 10
INSPECTIONS AND SAFETY EVALUATIONS
CHAPTER IV ...................................................................................................... 16
ENFORCEMENT
CHAPTER V ....................................................................................................... 18
EMERGENCY RESPONSE
CHAPTER VI ...................................................................................................... 20
PROGRAM STAFFING AND FUNDING
CHAPTER VII ..................................................................................................... 25
PROGRAM STAFF AND DAM OWNER-EDUCATION
AND TRAINING
CHAPTER VIII .................................................................................................... 28
DAM SAFETY PROGRAM - PUBLIC RELATIONS PLAN
GLOSSARY OF TERMS ..................................................................................... 35
APPENDIX A ...................................................................................................... 38
MODEL STATE LAW
APPENDIX B ..........................................................................................................
EXAMPLE PERMIT REQUIREMENTS
APPENDIX C ..........................................................................................................
SAMPLE INSPECTION CHECKLIST
APPENDIX D ..........................................................................................................
PENALTIES FOR VIOLATIONS
APPENDIX E ..........................................................................................................
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SAMPLE EMERGENCY ACTION PLANS


APPENDIX F ..........................................................................................................
ORGANIZATIONAL CHARTS
APPENDIX G ..........................................................................................................
TRAINING COURSES AND TECHNICAL GUIDES
APPENDIX H ..........................................................................................................
SAMPLE DATABASE FIELDS
APPENDIX I ............................................................................................................
BUDGET PREPARATION
APPENDIX J ...........................................................................................................
PUBLIC OUTREACH TOOL SAMPLES
APPENDIX K ..........................................................................................................
SAMPLE FEE STRUCTURES

ACKNOWLEDGMENTS
The Board of Directors of the Association of State Dam Safety Officials wishes to
extend its appreciation to the 2005-06 Model Program Update Task Force:
David Gutierrez, California (Chair)
Mark Ogden, Ohio
Linda Hyatt, Wisconsin
Robert Dalton, Vasconcelles Engineers
Brian Long, West Virginia
John Moyle, New Jersey
Bill Bingham, Gannett Fleming
Significant contributions to this update were made by a previous ASDSO Task
Force:
Mark Ogden, Ohio (Chair )
Steve Verigin, California
Linda Hyatt, Wisconsin
Brian Long, West Virginia
John Ritchey/John Moyle, New Jersey
Bob Dalton, Vasconcelles Engineers
Bill Bingham, Gannett Fleming

The original project was completed in 1987. Appreciation for research assistance
during the 1987 project is extended to Mr. Bruce Pickens, Ohio, and Mr. Brian
Long, West Virginia.
The 1987 Model Dam Safety Program Advisory Committee consisted of:
James J. Doody, California (Chair)
Martin Stralow, Illinois
Mr. George L . Christopulos, Wyoming
Mr. Jeris Danielson, Colorado
Mr. Delbert Downing, New Hampshire
Mr. Bruce Pickens, Ohio
The 1997 Model State Dam Safety Program Committee consisted of:
Mr. Brian Long, West Virginia, Chair
Mr. Richard DeBold, New Hampshire
Mr. Ed Fiegle, Georgia
Mr. Dan Lawrence, Arizona
Mr. George Mills, Ohio
Mr. John Moyle, New Jersey
Mr. Thomas Kelly, Affiliate Advisory Committee
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The second update was completed in 1997-98. The committee consisted of the
following:
Mr. Brian Long, West Virginia, Chair
Mr. Richard DeBold, New Hampshire
Mr. Ed Fiegle, Georgia
Mr. Dan Lawrence, Arizona
Mr. George Mills, Ohio
Mr. 3ohn Moyle, New 3ersey
Mr. Thomas Kelly, Affiliate Advisory Committee
The following individuals also contributed to the 1998 update:
Mr. Brian Baker, Georgia
Mr. Lyle Bentley, Tennessee
Mr. Denis Binder, Chapman University
Mr. William Bingham, Gannett Fleming
Mr. Robert Dalton, Illinois
Mr. Richard Hall, Utah
Mr. 3oseph Hough, Virginia
Mr. Brad larossi, Maryland
Mr. Donald Martino, Pennsylvania
Mr. Martin McCann, Stanford University
Mr. Mark Ogden, Ohio
Mr. Alan Pearson, Colorado
Mr. John Ritchey, New Jersey
Mr. James Simons, North Carolina
Mr. Mike Stankiewicz, New York
Ms. Susan Sorrell, ASDSO
Ms. Lori Spragens, ASDSO Executive Director

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INTRODUCTION
The Association of State Dam Safety Officials mission is to advance and
improve the safety of dams by supporting the dam safety community and state
dam safety programs, raising awareness of dam safety issues, facilitating
cooperation, providing a forum for the exchange of information, representing dam
safety interests before governments, providing outreach programs, and creating
a unified community of dam safety advocates.
Goals:
Goal #1: Improve the efficiency and effectiveness of state dam safety programs.
Goal #2: Raise awareness of dam safety among the general public, media, state
and federal governments, and other stakeholders.
Goal #3: Facilitate interorganizational, intergovernmental and interstate
cooperation.
Goal #4: Provide the professional dam safety community with forums for the
exchange of information
Goal #5: Provide representation of dam safety interests before state legislatures,
Congress and executive branches,
Goal #6: Provide quality and effective outreach programs.
Goal #7: Create a unified community of dam safety advocates through
membership in ASDSO.
Goal #8: Manage the association effectively through internal policies and
procedures.
There is great variance in the effectiveness of the existing state dam safety
programs. Some of this variance may be appropriate as each state must address
its dam safety needs and responsibilities in its own way. Some state programs,
however, are not considered to be adequate. Also many unsafe dams have
been identified and the required remedial action has not been implemented.
In an effort to create a guide for state officials initiating or improving state
programs, this "Model State Dam Safety Program" was developed originally in
1987, amended in 1997 and now updated in 2006 to reflect the experience of
state programs. It is meant to outline the key components of an effective dam
safety program. It does not mirror any particular state program nor does it
supplant any state's existing criteria. It is hoped that it will give guidance in the
development of more effective and sustainable state programs that will ultimately
eliminate the unnecessary risks created by unsafe dams.
Recent enactment of the National Dam Safety Act (NDSPA) by Congress
provides the opportunity for states to apply for financial assistance. The Model
can provide many areas for states to request improvement of programs under the
NDSPA.

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The use of several key words and concepts should be addressed to clarify the
intent of the Model. The words and associated concepts include:
"Shall," "will," or "must" mean that no option in accomplishment of that item is
intended for an agency or person;
"Should" means that the accomplishment of the item is optional and strongly
recommended for the agency or person; and
"May" means that the accomplishment of the item is optional and permission to
accomplish it is granted by statute or regulation.
Each state should tailor the "shall, "'should," and "may" concepts according to
their own circumstances or specific dams.
Appendices are provided in the Model as reference materials and as examples
for the state programs. Case studies from various states, where appropriate and
available, are included as specific examples.
Each state must determine which elements of this model document are
appropriate for its current program.

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CHAPTER I - LEGISLATION AND REGULATIONS


The foundation of any state dam safety program is the legislative authority and
accompanying administrative regulations that give substance to the statutes. As
such, the drafting of legislation and regulations is a critical first step in developing
a strong dam safety program. Great care must be taken to include the necessary
authority while avoiding the inappropriate verbiage that will direct the program
away from its intended course. The authority for dam safety must be provided
within a single agency to provide consistent oversight.
Some states prefer to detail specific program requirements within the statute.
This approach gives the program the weight of law. Other states prefer to keep
the authorizing legislation simple and supplement the program specifics with
administrative rules and regulations. This approach provides more flexibility. In
either case, certain items must be included in the authorizing statutes and/or
administrative regulations to create an effective dam safety program.
Appendix A is a Model State Law. This model uses the detailed statute
approach to establish an effective regulatory program. It provides a specific
statutory guide for a state program. Corresponding Model Law sections are
referenced below.

I.

Legislation

Legislation must be enacted that provides state dam safety programs with
comprehensive statutory authority and sufficient appropriations to regulate the
design, construction, reconstruction, modification, breach, removal*,
abandonment*, inspection, operation, monitoring and maintenance of any dam*
determined to have a potential to cause loss of human life, economic loss
(including property damage), and lifeline disruption;
The following specific items must be included:
A. Authority to define those dams within state jurisdiction. [see Appendix A,
section 1009];
B. Authority and duty to adopt rules and regulations and establish standards.
[see Appendix A, section 4410];
C. Authority to require that the design of initial construction, reconstruction,
enlargement, alteration, repair, operation, abandonment, breach, or
removal of dams and supervision of construction be in the charge of an
engineer* [see Appendix A, section 2030];
*

See Glossary for definition.

D. Authority to require that a permit or application approval* be obtained in


writing prior to the start of any activity involving the construction,
reconstruction, enlargement, alteration, modification, breach, removal,
abandonment, repair and operation of a structure. [see Appendix A,
section 5110 and section 5210];
E. Authority to approve/deny the impoundment of water. [see Appendix A,
Article 7200];
F. Authority to inspect dams during construction and periodically during the
life of the structure. This includes necessary authority for agency
personnel to enter private lands. [see Appendix A, section 4160, section
7610 and section 8130];
G. Authority to order repairs of a dam or modifications to a dams operation to
assure the dams safety. [see Appendix A, sections 4170, 8130, and
10150];
H. Authority to take such corrective action as required to carry out the
purposes of the statute. [see Appendix A, section 4310];
I. Authority to take emergency* action. [see Appendix A, sections 8210,
8220, 8230, and 8240];
J.

Penalties for non-compliance. [see Appendix A, chapter 9000];

K. A liability disclaimer for the state and the agencies personnel. [see
Appendix A, section 2040];
L. Responsibility for implementation of the statutory authority should be
placed with one agency. [see Appendix A, section 4120];
M. Authority to require the owner to:
1. Fully comply with all state laws and regulations. [see Appendix A,
Article 4300];
2. Monitor, [see Appendix A, section 8120 and section 8210] operate or
maintain [see Appendix A, section 8110] the dam in a safe condition
and make required repairs in accordance with the regulations [see
Appendix A, section 4130], terms and conditions of permits or
approved applications [see Appendix A, section 5210], approved
operating plans and orders of the agency issued pursuant to the
statute. [see Appendix A, section 8120];
*

See Glossary for definition.

3. Conduct periodic inspections [see Appendix A, section 8120] and


analyses [see Appendix A, section 8130] as may reasonably be
required by the agency, considering the size and hazard potential* of
the dam. In addition, as required by the agency, submit certified
reports on the condition of the dam to the agency, provided, that, the
agency may accept reports of equivalent inspections prepared by
governmental agencies. [see Appendix A, section 8120];
4. Immediately notify the state agencies and responsible authorities in
downstream communities of any condition which threatens the safety
of the dam, and take all necessary actions to protect against loss of
human life, economic loss (including property damage), and lifeline
disruption, including any action required under an emergency action
plan or agency order issued pursuant to the statute. [see Appendix A,
section 4140 and section 8210]; and
5. Retain records.
N. Authority to establish fee structures that may include application review,
and inspection of dams or annual registration fees [see Appendix A,
Chapter 6000]; and
O. Authority to require proof of financial responsibility. [See Appendix A,
section 4410].

II.

Regulations

The purpose of administrative rules is to establish the specific standards and


criteria to be used within a states dam safety program. In developing such
regulations (rules), consideration should be given to the following items:
A. The statutory authority for adopting rules and regulations;
B. Definition of terms;
C. Purposes of regulations;
1. Provide for the comprehensive regulation and supervision of dams
determined to have a potential effect upon loss of human life,
economic loss (including property
damage), and lifeline disruption;
and
2. Assure proper planning, design, construction, reconstruction,
enlargement, repair, alteration, breach, removal, abandonment,

operation, maintenance, monitoring and supervision of dams, including


such preventive measures as are necessary to provide an adequate
margin of safety.
D. Scope of jurisdiction;
Jurisdiction shall be established by one or more of the following criteria:
1. Height of dam;
2. Maximum storage capacity; and
3. Hazard potential classification.
E. Classification criteria;
1. Size classification;
2. Hazard Potential Classification; and
3. Purpose.
F. Design criteria;
1. Design criteria specific to the state or region. ASDSO maintains an
information clearinghouse for further information regarding specific
hydrologic, hydraulic, structural, and geotechnical design criteria; and
2. The regulations should allow the agency to consider a reduced design
criteria for any specific dam where it can be demonstrated that such
criteria protects against loss of human life, economic loss (including
property damage), and lifeline disruption.
G. Permits or application approval requirements for new construction,
reconstruction, enlargement, repair, or alteration of dams;
H. Permit or application approval requirements for operation and
maintenance of existing dams;
I. Permit or application approval requirements for breach, removal or
abandonment of dams;
J. Construction requirements and procedures;
1. Notice in advance of start of work;
2. Approval of personnel for oversight and supervision of construction;
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3. Construction reports;
4. Prior approval by the agency of major changes to approved plans and
specifications;
5. Agency approval to impound water;
a. Certification of construction according to approved plans and
specifications by the design engineer;
b. Submittal of as built documents; and
c. Submittal of a filling and monitoring schedule by the design
engineer.
K. Requirements for operation and maintenance;
1. Owners responsibilities - The owner of any dam shall at all times
operate and maintain the dam and all appurtenant works* in a safe
condition in accordance with all permit or application approval terms
and conditions;
2. Regardless of the date of construction of a dam, it shall be the ongoing
duty and financial responsibility of the dam owner to evaluate the
safety of the dam and all appurtenant works and to modify the dam in
accordance with the permit or application approval requirements (as
noted above) to ensure protection against loss of human life, economic
loss (including property damage), and lifeline disruption in accordance
with changed conditions and current dam safety criteria;
3. The owner of any dam shall immediately take such steps as the
agency may prescribe to protect against loss of human life, economic
loss (including property damage), and lifeline disruption; and
4. The owner of any dam shall follow the method and schedule of
operation of the dam, any plan for permanent monitoring of
instrumentation in the dam, the emergency action plan, and the
operation plan approved by the agency.
L. Requirements for inspection by owners;
1. Requirement for owners to submit periodic inspection reports to the
agency. These reports are to be prepared by an engineer. The agency
*

See Glossary for definition.

will set the frequency of owner inspections based on dam size and
hazard classification;
2. Requirement that owners shall retain records of their inspections,
including records of actions taken to correct conditions found in such
inspections. Copies of such records shall be provided to the agency;
and
3. Acceptance of reports of equivalent inspections conducted and
prepared by governmental agencies (e.g., reports prepared for/or by
the Federal Energy Regulatory Commission (FERC), the Natural
Resources Conservation Service (NRCS), etc.), in lieu of inspections
conducted by the owner. Also, the agency may accept equivalent
inspection reports certified by the owner and submitted to other
governmental agencies (e.g., reports to the Mine Safety and Health
Administration (MSHA), etc.).
M. Requirements for emergency action procedures. Adopted regulations
should generally address what is required of the dam owner. Additional
recommendations regarding emergency response for a model state
program and what should be included in an Emergency Action Plan are
covered in Chapter V. Example emergency action plans are included in
Appendix E. What should be addressed in regulations is listed below:
1. All owners of high and significant hazard potential dams shall prepare,
update, and periodically test an Emergency Action Plan. The plan must
be coordinated with the local emergency services agency and be
approved by the state agency. The detail and extent of the plan may
vary in accordance with the dams hazard potential classification;
2. The owner shall provide for the immediate notification of emergency
response agencies, any persons who may be endangered if the dam
should fail and the state dam safety agency of any condition which
threatens the safety of the dam or downstream areas; and
3. The owner shall take all necessary actions during an emergency to
protect against loss of human life, economic loss (including property
damage), and lifeline disruption.
N. Enforcement procedures;
1. Administrative actions;
2. Judicial actions;
3. Penalties;

4. Appeals; and
5. Emergency Action.
O. Fee Structures;
1. Fee structure for application/permit review. [see Appendix A - chapter
6000, Appendix B and Appendix K]; and
2. Fee structure for inspection of dams by the state agencies dam safety
personnel and/or annual registration fee. [see Appendix A - Article
6200,
Appendix B and Appendix K];
P. Owner Financial Responsibility.
1. Authority for the agency to require, by regulation, that the permittee
demonstrate proof of financial responsibility or surety assuring the
proper construction, operation, maintenance and termination of any
dam project which may present a substantial risk to human life, or
cause economic loss (including property damage), or lifeline disruption.
[see Appendix A, section 4410 F].

III.

Policies and Procedures

The agency should develop policies and procedures for the implementation of
the program. A detailed review and re-evaluation of the policies and procedures
should be conducted every 5 years. The review should evaluate the design
hydrology, hydraulics, structural, stability, and construction practices with current
State of the Practice procedures.

CHAPTER II - PERMITTING/APPROVAL OF
PLANS/AUTHORIZATION TO IMPOUND
Every state must have the authority to regulate activities that affect the safety of
dams*. Authority to regulate these activities must be available through permitting,
application approval, written approval of plans, certification of work, or other
regulatory procedures. For convenience, within this chapter all these regulatory
activities will be simply identified as permitting.
Many activities exist for which a dam permit is required. The information that
should be included in the application for a permit varies with the type of proposed
activity and the size and hazard potential of the structure in question.
This chapter discusses four basic topics. They are:
activities that require a permit
information to be included with the permit application
procedures for permit application review
grounds and procedures for permit revocation
Appendix B is a listing of typical requirements that can be included in the permit
requirement section of administrative rules.

I.

Activities that Require a Permit

Any activity related to the safety of dams within the jurisdiction of the
legislation/regulations as established in Chapter I must be permitted prior to the
start of that activity. Activities that commonly fall within this category include the
following:

construction of a new dam;

reconstruction of an existing dam;

enlargement* of an existing dam;

modification or alteration* of an existing dam;

repair* of an existing dam;

removal* of an existing dam;

II.

abandonment* of an existing dam;

operation and maintenance of an existing dam;

impoundment of water; and

change of ownership.

Information to be Included In a Permit Application


A. For new construction, reconstruction, or modification of an existing dam,
the following minimum items must be required and approved prior to the
initiation of the construction:
1. Construction plans and specifications prepared by a engineer*;
2. Hazard potential identification;
3. Statement of ownership;
4. Hydrologic and hydraulic design computations;
5. Structural design computations;
6. Geotechnical data and design computations;
7. Instrumentation plan.
8. Operation Plan;
a. During construction; and
b. Life of structure.
9. Maintenance plan;
10. Emergency action plan;
11. Agreement to submit as-built plans certified by the design engineer;
and
12. Statement of financial capability/performance bond in accordance with
statute and regulations.

B. The Repair of Existing Dams;


The repair of existing dams must be coordinated with and approved by the
state agency*. The current condition of the dam, the type of repair, and
the proposed means to achieve the repair all dictate the timing and detail
of review needed. Minor maintenance work should be included in the
approval of the original maintenance plan. Emergency repairs will need to
be addressed on a case by case basis. Pre-planned, major repairs must
be reviewed and approved prior to the initiation of the activity. Information
as required in II-A above shall be substituted for the repair of an existing
dam as necessary. In all cases, as-built records of the completed repair
should be maintained by the owner and the state agency. All construction
plans and specifications must be prepared by an engineer.
C. Removal or Abandonment of an Existing Dam; and
The following items shall be required and approved prior to the initiation of
the removal or abandonment of a dam:
1. Method of dewatering, including testing for environmentally sensitive
discharges;
2. Method of breaching* or abandonment;
3. Means to control erosion at the site during and after the breach;
4. Means to control sediment transport from the reservoir*, including
testing and control of environmentally sensitive material. Means to
maintain breach area, upstream and downstream channel, and
reservoir bed after the breach;
5. Time schedule and sequence of construction;
6. Requirement to submit as-built plans; and
7. Evaluation and remapping of downstream flood areas (Flood Insurance
Rate Maps - FIRM), if necessary.
All construction plans and specifications must be prepared by an engineer.
D. Details of the construction inspection program must be provided for
demonstrating an adequate and qualified force for inspection of
construction reconstruction, enlargement, repair, alteration, removal,
maintenance, operation or abandonment of dams. The regulatory agency
must not accept quality control inspection by the contractor.

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III.

Other Permitting Activities


A. Change in ownership;
Before transfer of ownership, the current owner must notify the agency of
the proposed change in ownership in writing. Permits issued under dam
safety regulations should be transferred or reissued to the new owner.
B. Operation and Maintenance of Existing Dams;
The proper operation and maintenance of existing dams not requiring
modification is critical to their short and long term safety. For dams in this
category, the following items must be required and approved:
1. A detailed maintenance plan;
2. A detailed operation plan;
3. An emergency action plan; and
4. Statement of financial capability.
C. Impoundment of Water;
1. Upon finding by the agency that a dam and reservoir area is
acceptable to impound water, written permission to fill the reservoir
must be required. The following items shall be submitted and
approved:
a. Owners written request for agency final construction inspection;
b. The design engineers certification of compliance with approved
plans and specifications;
c. As-built plans; and
d. Filling and monitoring schedule prepared by the design engineer.
2. Upon receipt and review of this material, final inspection by agency
personnel shall be completed and the authorization to fill decision
made by the agency.

IV.

Procedures for Permit Application Review

Administrative review procedures will vary from state to state. The agency should
familiarize itself with any necessary requirements with respect to public

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participation and the program should address those requirements. Consideration


of inter-agency review of all permit applications should also be given.
Upon receipt and approval of a complete application for permit and the resolution
of all appropriate objections, a permit for construction, modification, operation,
and maintenance should be issued. If an application for permit is not consistent
with the requirements, the application should be denied with a listing of the
reasons for denial.

V.

Permit Revocation

If the conditions of a permit are not adhered to, compliance enforcement must be
pursued (see Chapter IV). If compliance cannot be achieved, the permit must be
revoked and enforcement should be pursued.

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CHAPTER III INSPECTIONS AND SAFETY


EVALUATIONS
Inspection activities provide the basis for dam* inventories, evaluation of
downstream hazards and hazard potential classification, correlation of approved
construction plans with actual construction, safety evaluation of existing dams,
and emergency* response planning and execution. Adequate inspection of a
dam and the documentation of such inspections are necessary before
enforcement can be taken.
This chapter contains a discussion of issues related to implementing a program
of periodic inspections and safety evaluations. It also makes suggestions for
improving existing programs.

I.

Considerations for Implementing an Inspection Program


A. Staff;
Specific aspects of personnel qualifications and staffing levels can be
found in Chapter VI and Appendix I. Some of the considerations in
determining these qualifications and staffing levels for an inspection
program include:
1. The initial task of the inspection program must be to identify, classify
and evaluate the existing dams in the state. The hazard potential
classification for the dams located will need to be determined during
the initial inspection of all the dams in the state. An adequate number
of inspectors to accomplish this task will be necessary; and
2. Inspection frequency of existing dams must be decided. Geographical
areas define whether a central inspection office or a regional office
approach is desirable. If inspection frequency is not set by law, annual
inspections of high hazard potential dams, biennial inspections of
significant hazard potential dams* and inspection of low hazard
potential dams every five years are recommended. An adequate
number of qualified inspectors must be available for inspections and
associated enforcement work after the initial inventory is completed.
Average time for inspection of permitted/approved dams including
travel time, on-site inspection time, and report writing may be as much
as four (4) person days for high hazard potential dams, three (3)
person days for significant hazard potential dams, and two (2) person
days for low hazard potential dams. A detailed inspection, analysis and
evaluation of a dam with production of a detailed report may take two
person-months or more. This inspection time may vary on proximity

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and types of dams, etc. It is recommended that at least one engineer


and one inspector comprise each inspection team both initially and
with subsequent inspections.
B. Equipment;
See Chapter VI for a list of basic inspection equipment.
C. Training;
See Chapter VII for required training.
D. Periodic Inspection Standards;
To help ensure quality and consistency among inspectors, the State
should develop standards, and require the use of standard inspection
checklists and report formats (Appendix C contains example inspection
checklists). Additional inspection form examples may be found in the
Compendium of State Dam Safety Inspection Forms compiled by ASDSO
or on individual States websites. Suggested inspection standards are as
follows:
1. The engineer conducting the formal periodic inspection shall do all of
the following.
a. Review all documents, studies, plans, photos, etc. related to the
dam and its appurtenances. This shall include a review of the
Operation and Maintenance Plan, previous inspections, and the
Emergency Action Plan (EAP).
b. Provide an assessment of the need for hydrologic, hydraulic,
stability and structural calculations and perform them as necessary
to provide an accurate assessment of the condition of the dam.
c.

Evaluate the instrumentation data collected.

d. Determine if additional development has occurred within the


downstream reach that may change the hazard classification or
require amendments or additions to the emergency action plan.

e. Provide recommendations regarding the completion of an


underwater inspection of relevant portions of the dam and its
appurtenances. Underwater inspections are not generally required
unless it is the best means to evaluate visual evidence of problems
below the water level.

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f. Visually inspect outlet works and conduits if they are of adequate


size and can be accomplished in conformance with OSHAs
confined space requirements. Video inspection of conduits is an
alternative to the visual inspection. Video inspections of conduits
are not generally required unless it is the best means to evaluate
other evidence of problems in the conduit.
g. Prepare an inspection report detailing all visual observations of the
embankment, spillway, outlet, appurtenant structures and reservoir
conditions at the time of inspection. The report shall include
findings, recommendations, and proposed actions.
h. Photographs of the dam, showing specific observations or problem
areas must be included in the report with site name and date.
i. The engineer is expected to provide recommendations for all
deficiencies identified, and to direct specific attention to conditions
reported in previous reports and corrections required by the dam
safety program.
2. The engineer conducting the periodic inspection shall use a standard
inspection report form provided by the state, and shall inspect all of the
following and other items as necessary:
a. Embankment, including stability, alignment, and seepage;
b. Abutments;
c. Concrete Dams and galleries;
d. Spillways and outlet works, including alignment, pipe joints,
seepage, and the outlet channel (comply with OSHA confined
space requirements);
e. Intakes;
f. Valves and Gates;
g. Instrumentation;
h. Concrete;
i.

Mechanical equipment;

j,

Trash racks;

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k. Emergency spillways;
l.

Reservoir rim;

m. Penstocks;
n. Other components and appurtenances.
o. Observe an exercise of valves, gates and other operating
equipment as necessary to demonstrate proper functioning.
E. Documentation;
The inspection provides the basis for enforcement action. Adequate
documentation of all inspections is necessary. Documentation will be
critical in assessing legal liability;
1. Written documentation of visual inspections shall be filed and provided
to dam owners. Inspection reports should detail all visual observations
of embankment, spillway, and reservoir conditions at the time of
inspection. Any recommendations to, or verbal agreements with, the
owner/operator must be documented in the written report to the file.
Follow-up letters to the owner/operator should be written without delay;
2. Photographs of the dam, specific observations or problem areas must
be filed with site name and date of inspection clearly marked. All digital
image files or negatives must be carefully labeled and preserved in
anticipation of possible enforcement action;
3. Any conversation by telephone with the owner, owners agent,
consulting engineer, attorney, or concerned citizen must be
documented in a telephone log and placed in the project file;
4. Any email correspondence with the owner, owners agent, consulting
engineer, attorney, or concerned citizen must be retained either
digitally, or a paper copy placed in the project file;
5. Any conversation on site or in the office with the owner, owners agent,
consulting engineer, attorney, or concerned citizen shall be
documented in writing and placed in the project file; and
6. Any legal notice or order must follow all legal requirements of the dam
safety statute and legal administrative procedures for the state.
F. Inventory;

16

The results of the beginning inspection program should be maintained in a


computerized inventory, which includes basic information necessary to set
priorities and goals. The dam name, owner information, specific
geographic location, height, storage, hazard potential classification,
general condition, and inspection dates of the dam are suggested for the
inventory. This data is also used for updating the National Inventory of
Dams (NID). The Corps of Engineers provides the Dam Safety Program
Management Tools (DSPMT) software, an inventory and data
management tool, to state dam safety programs. States beginning a new
inventory should consider using the DSPMT as their database software for
its ease of transfer of NID and other program performance data. The
locations of inventoried dams must be plotted on US Geological Survey
(USGS) topographic maps for future inspections, planning and emergency
response (see Appendix H for sample database fields). It is also
recommended that the dams in the inventory be spatially located using a
GIS application;
G. Construction Inspections;
State inspections during construction provide verification that dams are
built in accordance with approved plans and specifications. It might be
argued that such inspections are unnecessary when construction sites are
overrun with contractors inspectors, owners inspectors, and consulting
engineers representatives. In many cases, however, the contractor is
disposed to cutting cost and the other on-site inspectors may look to the
state for ultimate justification in following the approved plans. Some
obvious but often overlooked suggestions for construction inspections
include:
1. Certification in writing by the design engineer that the construction or
repair* of the dam was in accordance with the approved plans and
specifications. This will assure the oversight responsibility for the
project;
2. Often the most vulnerable phase in the life of a structure is the
construction phase. Coffer dams, diversions, and the main
embankment are usually incapable of safely passing floods until
sufficient dam height is achieved. An emergency action plan specific
to construction activities should be approved prior to starting the
project. Inspection teams should ask on-site monitoring personnel to
produce copies of the plan and explain emergency procedures;
3. Inspection teams should ensure that construction personnel have
copies of the approved plans and specifications, and the state permit
or application approval for construction;

17

4. The entire site must be examined to check conformity with the


approved plans and specifications, and applicable safety standards.
When site personnel dismiss the need to check particular areas of
construction, the inspection teams should make it a point to see these
areas;
5. Documentation of inspection including photographs and written
inspection reports while on site is extremely important. Legal notices
of violation must conform with statutory requirements; and
6. Monitoring of a new dam should be exhaustive during a restricted filling
schedule.
H. Owner Responsibilities;
A state inspection program depends on dam owners and/or their
consultants to provide complimentary and necessary inspections and
surveillance. The dam owner and heirs, successors, or assigns is
ultimately responsible for the safety of the dam. The owner is directly
responsible for the ongoing operation, maintenance, surveillance, and
periodic inspection. The owner shall do all of the following:
1. Provide for on-going surveillance of the dam. The level of surveillance
will depend on the size, condition and hazard classification of the dam;
2. Train their personnel in the basics of visual inspection techniques. Any
person* employed by the owner who regularly visits or works at the
dam should be trained to inspect part or all of the dam and to report
any observed problems;
3. Measure or read appropriate instrumentation and record and evaluate
the data at specified time frames;
4. Promptly notify the state dam safety program of any unusual
observations. Unusual observations may be indications of distress;
5. Inspect the dam and its appurtenances:
a. On a regular periodic schedule based on size, condition and
consequence of failure, and;
b. During and after any unusual loading including, but not limited to,
significant storm/runoff events or earthquakes, to determine if
structural or operational problems exist;

18

6. Maintain records for the dam, including but not limited to construction
plans and documents, engineering studies, inspection reports,
monitoring records, photos, the emergency action plan, and the
operation and maintenance manual;
7. Obtain the services of an engineer or have qualified in-house staff to
inspect the dam as required by state regulations.

II.

Considerations for Implementing an Owner-Responsible


Inspection Program

As outlined in Section I, periodic inspections conducted by the state provide an


independent and unbiased review of the dam and are the preferred model.
Shrinking state budgets and the trend toward privatization of government
services have led some states to depend more heavily on inspections conducted
by private consulting engineers hired and paid for by the dam owner. These
types of programs, referred to here as Owner-Responsible Inspections, have
more emphasis on the owner and/or their consultants as the primary source of
the review and inspection. The state plays a reduced role for the periodic
inspection and review of the dam, but provides direction, enforcement, quality
control and policy for consistency. The state shall continue with the
responsibilities for construction inspections as outlined in Section I, G.
Either model requires compliment inspections by both owners and states . This
section provides guidance on how to develop an owner-responsible inspection
program. An owner-responsible inspection program must clearly define the
owners responsibilities for operation, maintenance and inspection of the dam.
A. Owner Responsibilities;
In an owner-responsible program, the owner is responsible for providing
in-depth inspections by either an in-house engineer or an engineer hired
by the owner. This in-depth inspection is outlined in Section I, parts D and
E. The owner continues to retain the tasks outlined in Section I, part H.
The engineer conducting the inspections would be required to have the
proper equipment and training as referenced in this model. The owner
shall use standard report formats and guidelines that are developed by the
state to assure consistency among owners.
B. State Responsibilities;
The State should continue to be responsible for the following:
Identification of jurisdiction, inventory, assigning hazard classification and
developing required frequency of inspections. Recommendations for
these issues are outlined in Section I above. The State should also

19

develop policy, standard forms, and other dam safety standards, and
conduct quality assurance as outlined below:
Quality Assurance/Quality Control. As a result of an owner-responsible
inspection program, a Quality Assurance/Quality Control (QA/QC)
procedure conducted by the state is important to help ensure that formal
inspections are being conducted in accordance with the standards. The
state should implement the following measures. Recommended staffing
needs for QA/QC are presented in Appendix I.
1. The dam owner should be required to sign an annual statement
indicating that the dam is being maintained in accordance with the
approved maintenance plan and that the emergency action plan, if
required, has been exercised and updated as necessary.
2. The state shall have the authority to make inspections and inspect
records and manuals.
3. The state program should promptly review all submitted reports and
requirements.
4. The state should make independent periodic field inspections of
jurisdictional dams to verify the findings of the owners inspection.
5. The state should require more frequent or follow-up inspections by the
owners engineer if conditions indicate that more frequent inspections
are necessary to assure adequate protection of life and property.
6. The state should document deficiencies by letter to the owner with
specified time frames for abating the deficiencies consistent with
recommendations of the inspection report.
In order to ensure the effectiveness of an owner-responsible inspection program,
the state dam safety program should have enforceable regulations related to
performance of owner inspections (See Chapter IV).

III.

Considerations for Upgrading an Inspection Program

After an inspection program is established, or when the opportunity arises to add


to an existing program, advanced inspections and in-depth reviews and
evaluations should be conducted. The following areas should be considered for
improvement:
A. Advanced Inventory;

20

An inventory verification of all dams within state jurisdiction every five


years can be an effective tool for determining the overall program status
and progress. Inventories should list all pertinent aspects of each dam
such as height, storage, and hazard potential classification. Additionally,
inventories can list permit or application approval status, inspection priority
status, purpose of dam, owner information, enforcement status, and other
useful information. Inspection teams must be trained to gather the
information necessary from the field including use of global positioning
stations to locate dams;
B. Advanced Inspections;
Inspection teams should conduct detailed inspections of dams to evaluate
dam performance under normal or unusual site conditions. A detailed
inspection of all outlet works should be performed a minimum of every five
years. The inspection should include direct visual observation where
practical and safe, or by remote cameras where necessary. Advanced
inspections should take advantage of all available data such as agency
and owners records of construction, instrumentation records, and
operation and maintenance records. Field inspections may include
accurate measures of watershed and reservoir conditions, spillway
configurations, embankment conditions, downstream hazard potential, or
other specific problem areas. Wherever possible, gates and other
operating equipment should be exercised to demonstrate proper
functioning.
Additional unscheduled inspections should take advantage of unusual site
conditions, such as a lowered or drained reservoir, or reservoir levels higher
than normal. It may be useful to inspect concrete and masonry dams on a
sunny day after heavy ice build-up in the reservoir. Inspections are useful also
after record storms, snow melt, and earthquake events.
C. Design Reviews and Evaluations;
The agency should re-evaluate each high hazard dam every five years or
when changes in the state of practice occur. This includes in-depth
calculations and evaluations of hydrology, hydraulics, structural, stability,
earthquake engineering and construction. Where necessary, a reanalysis
employing advanced methods and modern design criteria and practices
should be conducted in order to determine if the structure meets current
design criteria. Specialized engineering software should be used to
adequately evaluate each component of the dam for the various loading
conditions expected.
D. Advanced Inspection Techniques and Equipment;

21

State programs may consider the use of advanced equipment either


through direct purchase or cooperative agreement with other states.

22

CHAPTER IV - ENFORCEMENT
In order to ensure that dams* function safely, the regulatory agency* must be
able to enforce its dam safety statutes and corresponding regulations quickly,
uniformly and fairly. Such enforcement authority may be addressed specifically
within the dam safety legislation and regulations, within general state
enforcement procedures, or within a combination of these two authorities. Each
states enforcement program will be greatly affected by influences outside the
dam safety program if the enforcement authority is not clear, concise and evenly
practiced. This chapter will address what is needed in order to accomplish the
enforcement task effectively. The following general components are addressed:

I.

enforceable statutes and regulations;

authority for inspection and enforcement;

clearly defined and responsive administrative procedures; and

appropriate penalties.

Enforceable Statutes and Regulations

It is important that the laws that govern dam safety in a state be readily
enforceable. To ensure that a states laws are enforceable, it is recommended
that they:
A. Be clearly written and understandable;
B. Be logistically plausible. They must not contradict other statutes within
that state;
C. Must include clauses that will allow for penalties in the event of infractions
of the law; and
D. Be constitutionally valid within the state.
The most effective way for these conditions to occur is to assure the fullest
involvement of an agencys or states legal counsel in the drafting and review of
proposed statutes. Most state agencies must follow a set procedure within the
agency for the drafting and review of legislation originating from within the
agency. In the event the legislation does not originate from within the agency,
the agency must provide as much technical guidance for the legislation as can be
achieved and recommend changes as appropriate. The agency should establish
a position on the passage of any piece of legislation affecting the dam safety
statutes.

23

II.

Clearly Defined Administrative Procedures

An essential feature of any enforcement program is clear and well defined


procedures that is to be followed by the agency and its personnel. Without a
clear delineation of responsibilities it is impossible for a state dam safety agency
to enforce the statutes of the state. Additionally, there must be a defined appeals
process for any person* who is adversely affected by an enforcement action of
the state. This process must be conveyed to the affected party at the same time
the action is taken. This process is usually set out in the state administrative
procedures act.
The following section is organized to describe a possible process for
enforcement:
A. For most state agencies, the enforcement process will actually begin with
inspection. Through the inspection process, problems, violations and
inadequacies are found, recorded and reported. On-site inspections are
the single most important means by which an agency can determine the
level of compliance by dam owners in the maintenance and operation of
their dam. On-site inspections provide the agency, on a regularly
recurring basis, with an opportunity to evaluate the safety of a dam; and
B. If a problem, violation, or inadequacy is found, a determination must be
made whether or not an emergency exists. If the problem, violation, or
inadequacy also constitutes an emergency, the emergency situation must
be resolved before enforcement procedures begin. A non-emergency
problem, violation, or inadequacy should result in a request from the
agency for compliance by the owner. If an owner does not comply when
requested or when a violation exists, an enforcement order must be
issued which could be appealed by the dam owner. If the owner still
refuses to comply, legal action must be initiated for compliance.
Sometimes, the ultimate resolution to a violation or non-compliance
problem is the evacuation of the reservoir and breaching of the dam by the
owner or the state.

III.

Penalties

Just as there is a set of actions which the state can pursue when a violation is
identified, there must be a set of penalties that adequately deter violations.
These penalties must be properly and clearly addressed in the dam safety
statutes.
In the course of any enforcement program, there will be violations discovered
which are of lesser severity than others. It should be expected that many of
these violations can be disposed of in ways not involving formal hearings or
24

litigation, such as consent orders. However, there will also be a certain number
of violations which will require a more rigorous enforcement procedure, including
the states attempt to assess civil and/or criminal penalties. These penalties may
include incarceration and/or monetary judgments. Any monetary judgment
should cover the cost of the enforcement procedure and penalize the owner.
Appendix D includes examples of enforcement procedures.

IV.

Emergency Situations

It is imperative that the regulatory agency have clear authority to take emergency
actions in life-threatening situations and that those actions remain in force until
the emergency is resolved. Emergency actions can include measures for
protection of life and property, lowering the reservoir level, and removal* of all or
part of the dam and impoundment. Statutory authority should give the state the
right to recover any costs for emergency actions from the owner of the dam by
legal action in a court of appropriate jurisdiction where the dam is located or
where the owner resides.

25

CHAPTER V - EMERGENCY RESPONSE


The state dam safety program must define the response required in the event of
a dam related emergency*. An emergency or operation resulting in downstream
flooding will require action by the agency as well as action by the owner and
coordination with the state emergency management agency and local officials.
This chapter reviews minimum requirements an agency should address and
basic considerations for preparing an Emergency Action Plan. Included in
Appendix E are guidelines for developing Emergency Action Plans and example
Emergency Action Plans.

I.

State Program Requirements

Legislation and regulation recommendations as they relate to emergency


response are covered in Chapter I. Normally an agency will define the
requirements of an owner and the agencys internal policies regarding
emergencies. Reaction and responsibilities of local officials regarding
evacuation, security, shelter and care will be established by the state and local
emergency management agencies.
Suggested State program requirements are summarized below:
A. Require that owners of high and significant hazard potential* dams
prepare, update, and periodically test an Emergency Action Plan;
B. Require that owners provide for the immediate notification of emergency
response agencies, any persons who may be endangered if the dam
should fail and the state dam safety agency of any condition which
threatens the safety of the dam or downstream areas;
C. Require that owners take all necessary actions during an emergency to
protect life, health, and property; and
D. Establish an internal emergency response procedure which includes
coordination with the state emergency management agency.

II.

Basic Considerations for Preparing an Emergency Action


Plan

The following basic considerations should be utilized in developing a state


program for implementing and monitoring emergency action plans:

26

A. Many dam owners will have no concept about how an emergency action
plan should be developed. A program will be needed to educate owners
about the requirements of emergency action plan development and
testing. Example plans should be available for owners and engineers to
review;
B. Each city, county, or district emergency organization is different. Local
input and coordination on monitoring, communication, and evacuation
procedures is essential to document how such tasks are handled
downstream of each dam;
C. The plan must be kept as simple as possible in both organization and
wording. This cannot be accomplished if the plan has lengthy
introductions or discussions of authority and scope. Ideally, a novice
should be able to read the plan and determine necessary action in the
shortest possible time. However, the process of developing an effective
emergency action response will require extensive planning and
coordination between the state agencies, local agencies and the owner.
Training and the performance of EAP exercises is essential to assure
timely response and to detect any weakness in the plan. If someone
needs to read the plan before taking action, the delay may be critical;
D. In general, the owners first priority should be to properly operate and
maintain the dam, and to implement required structural upgrades.
However, it is important that a good emergency plan be available because
a dam may be most vulnerable to failure when it is in need of repair and
maintenance. When the dam is in good condition the basic plan can be
upgraded to include, as necessary, water level monitors, warning sirens,
inundation mapping, etc;
E. Plans must be updated frequently. A list should be kept of those
individuals or agencies that received an initial copy of the plan. They must
be provided with all updates. The notification list should be updated as
necessary, but not less than once a year. The entire plan should be
updated when the required periodic inspection is performed or when the
structure is modified. This will help remind the participants of their
obligations;
F. Monitoring and evacuation plans are not a substitute for necessary
remedial repairs or upgrades of the dam; and
G. Each emergency action plan should include seven basic elements. A
more detailed description of these elements is provided in Appendix E.
1. Emergency Notification Flowchart and Information. A notification
flowchart shows who is to be notified, by whom, and in what priority.

27

The information on the notification flowchart is needed to ensure the


timely notification of persons responsible for taking emergency actions;
2. Statement of Purpose. The purpose of an emergency action plan is to
provide one method for reduction of the risks to loss of life and to
minimize damage due to a dam failure or large spillway release;
3. Emergency Detection, Evaluation, and Action. Early detection and
evaluation of the situation(s) or triggering event(s) that initiates or
requires an emergency action is crucial. The establishment of
procedures for reliable and timely action to reduce the risk to life is
imperative and should ensure that the appropriate sequence of steps is
taken based on the urgency of the situation;
4. General Responsibilities. A determination of responsibility for EAPrelated tasks must be made during the development of the plan. The
EAP must clearly specify the dam owners responsibilities to ensure
effective, timely action, including notification of state and local
emergency management officials, should an emergency occur at the
dam. The EAP must be site-specific, since conditions at and
downstream of all dams are different. Dam owners are responsible for
developing, maintaining, and implementing the EAP in coordination
with local emergency response agencies. State and local emergency
management officials are responsible for warning and evacuation
notification of persons. The owner may also be responsible for
notification of persons living immediately downstream of the dam when
emergency authorities are unable to respond in a timely manner;
5. Preparedness. Preparedness actions are taken to moderate or
alleviate the effects of a dam failure or operational spillway release and
to facilitate response to emergencies;
6. Inundation Maps. An inundation map should delineate the areas that
would be flooded as a result of a dam failure. An important security
issue for the inundation maps is that they not be distributed as public
documents. Security concerns dictate that the maps be available only
to responsible entities that have a need for the information. The maps
may also be developed or used to depict areas that would be flooded
by unusually large spillway releases. Inundation maps are used both
by the dam owner and emergency management officials to facilitate
timely notification and evacuation of areas affected by a dam failure or
flood conditions; and
7. Appendix. The appendix contains information that supports and
supplements the material used in the development and maintenance of
the EAP.

28

Other sources of information on emergency action planning are listed in


Appendix E.

29

CHAPTER VI - PROGRAM STAFFING AND FUNDING


Staffing and funding requirements for a dam safety program depend primarily on
the scope of the states statutory authority and responsibilities. Some typical
factors which also affect these needs include the following:
A. Number, classification and location of dams* subject to state jurisdiction;
B. Type of inspection program, i.e. inspections by state or by owners*
engineer*;
C. Geography and topography of the state;
D. Overall organizational structure of the state; and
E. Related operation and equipment expenses and requirements.
F. Population at risk.
As part of their total program budget, some states may also wish to consider
financing mechanisms for public and private dam repair and rehabilitation
projects. However, for any state dam safety program to be effective and
accountable, the basic personnel and funding levels must be sufficient to satisfy
the statutory mandates.
This chapter provides information which can be used in determining staffing and
funding needs necessary to establish new state dam safety programs or expand
existing ones. Areas covered include considerations in determining staffing
needs, typical job classifications, budgetary considerations, program funding
sources, potential funding resources for repair projects and a staffing level
example program exercise to assist in budget preparations. Each state must
assess its particular needs on the basis of its own set of legislative,
organizational, geographic, and political constraints.

I.

Staffing Considerations

For new or expanding programs, it is important to identify all factors which may
influence personnel needs. Statutory requirements, including those established
by administrative rules and regulations, form the basis for this determination.
A. Identification and staffing needs:
1. Statutory/administrative requirements. All aspects of the permitting
and inspection activities including mandatory application* and plans
review periods, enforcement actions, and legal proceedings should be
30

clearly identified. Requests for technical assistance, resolution of


design problems, and preparation of reports often require more staff
effort and time than initially projected. Case preparation and
conferences with attorneys, depositions, court testimony, and other
aspects of litigation should also be addressed in determining staff
needs. The program administrator and possibly others in the program
will likely have to devote time to personnel and budget issues,
administrative paperwork, strategic planning and other issues
pertaining to the overall operation of the program;
2. Inspection Requirements. An inspection team is able to inspect only a
finite number of dams within a certain period of time. Because of the
wide range of state laws and inspection requirements, it is difficult to
identify the number of inspections that any inspection team should be
expected to perform. The inspection teams degree of experience will
also directly influence the capacity for performing inspections. An
adequate number of qualified inspectors must be available for
inspections and associated enforcement work. Average time for
inspection of permitted/approved dams including travel time, on-site
inspection time, and report writing may be as much as four (4) person
days for high hazard potential dams, three (3) person days for
significant hazard potential dams, and two (2) person days for low
hazard potential dams. A detailed inspection, analysis and evaluation
of a dam with production of a detailed report may take two personmonths or more. This inspection time may vary on proximity and types
of dams, etc. It is recommended that at least one engineer and one
inspector comprise each inspection team both initially and with
subsequent inspections.
3. Logistics. The locations of the dams and the required travel time to
and from the inspection sites should be considered. For states of
larger geographic area and/or with complex topographic conditions,
regional or field offices may be necessary; and
4. Other staff duties. Administrative and other duties unrelated to the
dam safety program will have a direct bearing on staffing requirements.
The administrator may be responsible for overseeing other programs.
Selected staff members may be required to devote portions of their
time to other duties. An expanding staff will place an added burden on
experienced supervisory personnel, particularly with respect to the
training of new staff;
B. Organizational structure;
Each state will need to assess and fit the dam safety program into the
appropriate agency*/department in its overall organizational structure.

31

Many states include the dam safety program in water resources agencies.
The scope and size of the program as well as the potential need for field
offices must be considered in determining the organizational structure.
Tables of two possible organizational structures are included in Appendix
F;
C. Typical job classifications;
Several job classifications are considered essential to meet the various
needs of a dam safety program. Recommended classifications include
engineers, geologists, technicians, and other professional, technical, and
clerical support staff. Although professional support staff does not
necessarily need to be part of the actual program organization, clear and
ready access to attorneys, computer specialists, and other professionals is
an essential staffing consideration. Also, the importance of clerical and
administrative support personnel should not be overlooked in assessing
staff needs. These persons will contribute substantially to the programs
success and effectiveness. Such job classifications may include, but are
not limited to:
1. Engineers (both professional engineers and engineers-in-training). An
appropriate mix of experienced and junior engineers will enhance any
dam safety program. Applicable engineering disciplines include:
a. Water resources (hydrology and hydraulics);
b. Geotechnical;
c. Structural; and
d. Construction;
2. Engineering geologists;
3. Technicians;
a. Construction;
b. Inspection;
c. Surveying; and
d. Drafting;
4. Professional support;

32

a. Environmental scientists;
b. Computer specialists;
c. Emergency management planners;
d. Soil scientists;
e. Remote sensing specialists;
f. Attorneys;
g. Public Information Officer
5. Clerical and administrative support.
a. Secretaries; and
b. Fiscal/administrative assistants.

II.

Program Funding

Funding of a regulatory dam safety program will depend significantly on its


statutory requirements. In developing a new program, potential revenue sources
for implementation should be analyzed and any necessary funding mechanisms
such as fees should be included in the enabling legislation. Principal funding
sources for dam safety programs are direct legislative appropriations and various
types of fees.
The logistics for submitting an appropriation request to the administration and the
legislature will vary from state to state. Usually before an appropriation is made,
administrative, fiscal, and legislative entities will scrutinize and determine the
need for such an appropriation. As part of the appropriation process, it will be
necessary to develop a detailed program budget including appropriate
justifications for identified needs. For new or existing programs, several factors
must be addressed in determining financial needs and preparing an operating
budget. Costs associated with personnel, equipment, facilities, training and
education, supplies, and emergency actions are just a few factors which directly
influence budget needs. It is important that the programs management and
administrative staff be directly involved in the budget preparation to assure that
all needs are addressed.
A. Identification of funding needs; and

33

B. A detailed budget should include all operating costs necessary to properly


implement and enforce the statutory requirements. For any dam safety
program to be effective, the level of funding must match the legal and
safety mandates. The following items should be considered in developing
a budget:
1. Personnel costs;
a. Staff costs (salaries, fringe benefits, etc.);
b. Consultant services - Investigations of special problems or thirdparty opinions may be needed in evaluating safety issues;
c. Utilities and rent;
d. Computer specialist charges;
e. Travel (both in-state and out-of-state); and
f. Miscellaneous
2. Equipment;
a. Office equipment, reference books, and maps;
b. Four-wheel drive vehicles;
c. Field equipment (cameras, video equipment, first aid kits, high
power lights, rain gear, global positioning system (GPS) equipment,
surveying instruments, measuring devices, etc.);
d. Computers, including laptop computers for field work;
e. Communication equipment (mobile radios with emergency
frequencies, cellular telephones, pagers); and
f. Special items (pipe inspection cameras, siphon pipe equipment).
3. Training and education (publications, seminars, public relations
material, etc.);
a. Staff;
b. Owners; and
c. General public.

34

4. Funding for emergency actions;


As a minimum, a non-lapsing source of easily accessible money
should be identified. Some states have a specially designated fund for
such actions. The dam safety legislation could require that a portion of
civil penalties be earmarked for such a special fund. Some means of
recovering the cost of an emergency action from the dam owner
should also be provided;
5. General support allocation for umbrella agency.
C. A funding source needs to be identified. As previously indicated, there are
two principal funding sources: direct appropriations and fees.
1. Direct appropriations are self-explanatory;
2. Fees;
a. Application, filing, or permitting fees. These charges are typically
made to cover the costs of plan review and approval, construction
inspection, and associated aspects of new dam construction,
reconstruction or repair. These fees may be charged as a flat rate
or as a graduated schedule based on the estimated construction
cost;
b. Certificates of approval to impound*, permit-to-operate, or
registration fees. These fees are usually charged on an annual
basis for the continued operation of the dam. The fee may be in
the form of $X per dam dependent on hazard potential classification
or $Y per foot of height, acre-foot of storage, or other
measurement; and
c. Inspection fees -These charges are usually imposed to offset the
costs of the states periodic inspection program. The fees may be
similar to the ones noted for a certificate of approval to impound or
may be for the actual cost of the inspection.
3. Other sources include federal grants, direct assistance, etc.

III.

Funding Resources for Repair Projects

Protection of the public from the failure of dams cannot be assured unless
deficiencies and unsafe conditions identified through regulatory inspections are
properly corrected in a timely manner. Funding of major dam repair and

35

rehabilitation projects can be a difficult problem in both the public and private
sectors.
A large percentage of the high hazard potential dams are owned by federal,
state, or local governments. Many high and significant hazard potential privatesector dams are owned by industrial and commercial entities, by homeowners
associations and by private owners. For large and moderate sized dams, repairs
can cost in the hundreds of thousands or millions of dollars. Such costs may well
exceed the financial capability of almost any governmental unit or private entity.
Infrastructure deterioration and funding problems have gained a great deal of
attention throughout the nation (See appendix I).

36

CHAPTER VII - PROGRAM STAFF AND DAM OWNER EDUCATION AND TRAINING
Education and training of the agency* staff and the dam owner* are important
elements of any program. Newer staff needs training focused on dam safety
engineering. Because state-of-the-practice technology for dam* design,
construction, and inspection activities is constantly changing, even experienced
professional and technical staffs must be continually educated in these new
techniques and trained in their use. Various levels and types of education and
training can be employed to keep staff personnel up to date in their particular
areas of expertise. Likewise, there are different vehicles and resources available
for informing the dam owner about the proper techniques of maintenance and
operation of their dams.

I.

Staff Education and Training Needs

In both new and well-established dam safety programs, it is of paramount


importance that professional and technical staff posses the necessary skills to
investigate and assess the safety of dams, and manage a dam safety program.
For new programs, these are particularly critical considerations. Ideally, a state
dam safety program will encourage its staff to improve their skills through pursuit
of continuing educational opportunities and advanced degrees, attendance at
seminars, short courses and conferences, and participation in professional
societies and associations. States are strongly encouraged to provide
opportunities as well as funding for staff to enhance their engineering and other
skills through ongoing educational efforts.
Education and training can be provided to staff in different forms and through
various media. These include:
on the job training;
continuing education and graduate-level programs at universities;
seminars, short courses, workshops, and conferences;
federal and state dam safety training programs; and
film and video training sessions.

Often underestimated and overlooked, on-the-job training constitutes the best


form of education and training that program staff can receive. Knowledge and
expertise shared by experienced engineers* through field and office activities are
invaluable to the successful training and professional development of new staff.
Program managers are encouraged to develop in-house training sessions which
37

may include presentations by staff and outside consultants on the hydrologic,


hydraulic, geotechnical, and structural engineering aspects of dam safety,
emergency actions, legal and enforcement proceedings, and other elements of
dam safety practices.
Seminars, short courses, workshops, and conferences are significant sources of
information on new and innovative programs and techniques being developed or
employed by the public and private sectors. Additionally, conferences provide
staff with the opportunities to meet persons in similar positions in other states or
agencies and to discuss and share experiences and learn about state-of-thepractice methods. Professional contacts made at these meetings may be useful
in helping to resolve future dam safety problems.
There are a variety of organizations that offer training specific to dams or other
areas closely related to dam safety. Some of these organizations include
Association of State Dam Safety Officials (ASDSO), United States Society of
Dams (USSD) and American Society of Civil Engineers (ASCE). Federal
agencies such as the U.S. Army Corps of Engineers (COE), Department of
Interior - Bureau of Reclamation (BUR), Department of Agriculture, Natural
Resources and Conservation Service (NRCS), Mine Safety and Health
Administration (MSHA), Federal Energy Regulatory Commission (FERC) and the
Federal Emergency Management Agency (FEMA) have also developed training
programs and resources which are available to state dam safety personnel.
These training opportunities include classroom-type courses, films, and video
instructional materials. A listing of available training courses is included in
Appendix G.
Topics which must be included in a training program include: hydrology;
hydraulics; soil mechanics, including slope stability; seepage analysis; concrete
design; geology; emergency action planning, and response; erosion and
sedimentation control; field safety; dam security; public relations and computer
literacy.
Specific areas of training for a beginning program include:
A. Legal entry;
The legal requirements and limitations of entry to property must be clearly
understood by the inspection team. Each inspection team must have a full
understanding of the dam safety statute, rules and regulations for dam
safety, and legal liability concerns;
B. Records;
The inspection teams must know how and where to obtain existing
records of dams. If state files do not have current owner* information, the

38

inspection team will need to know how to check courthouse records to


determine ownership;
C. Field measurement techniques;
The inspection team must know practical methods for determining if the
state has jurisdiction over the dam. Location of critical measuring points
(such as the downstream toe, or the natural stream bed, or the low point
of the crest of the dam) may appear straightforward when reading the law,
but may be difficult to locate in the field. Determining dam height,
reservoir storage, surface area, hazard potential classification, and other
measurements should be demonstrated in the field as part of the training
regime;
D. Visual inspection techniques;
The inspection teams must be proficient in hydrology, hydraulics, and
slope stability to better evaluate what is routinely seen in the field. Visual
inspection of spillway inlet and outlet works, embankment seepage or
piping, alignment of structures, vegetation, animal burrows, slumps and
slides, and reservoir levels should be covered in training courses;
E. Emergency inspection techniques;
The inspection team must be aware of procedures to be followed in an
emergency. Specific agency arrangements for communication, reporting,
travel, vehicles, emergency equipment, and coordination with other
emergency agencies must be understood. Procedures for determining the
freeboard, rate of reservoir rise or fall, amount of overtopping, seriousness
of embankment seepage or piping, and criteria for recommending
evacuations must be covered. Legal responsibilities of the agency and
inspection team must be stressed;
F. Field safety;
The inspection team must be aware of all pertinent safety concerns and
procedures including trenching and excavating, confined space, height
and water hazard, and plant and animal hazards; and
G. Communications skills and public relations (see Chapter VIII).

II.

Education and Training of Dam Owners

Dam owners and operators must be made aware of their states dam safety laws
and regulations, the associated responsibilities and liabilities, and the proper

39

operation, maintenance and inspection of their dams. Usually, the best


education and training for the dam owner is provided through their contacts with
the states dam safety personnel. These individual contacts can be
supplemented by publications such as operation and maintenance manuals
which describe the owners various responsibilities. Public awareness
workshops and seminars conducted by the state dam safety staff are other
effective means for communicating with dam owners.
Many states have already developed and published manuals describing
operation, maintenance, inspection, and emergency preparedness and action
procedures for use by dam owners and operators. These manuals are intended
to be of assistance to the dam owner in becoming familiar with the general
principles and features of their dams as well as developing adequate skills of
observation and safety inspection. See Appendix G for a list of sample dam
owners manuals.
States should sponsor workshops, seminars, and training sessions which are
designed to instruct owners about dams, necessary monitoring, operation,
maintenance and inspection procedures, liability, emergency action plans, and
financing for rehabilitation. These workshops can be conducted to raise the
awareness level of dam owners for a relatively small investment of state
resources. ASDSO and FEMA have provided assistance to states in conducting
workshops and seminars to instruct dam owners about their liabilities and
responsibilities. ASDSO, with support from FEMA, also offers workshops geared
specifically to owner education.

40

CHAPTER VIII, DAM SAFETY PROGRAM, PUBLIC


RELATIONS PLAN
I.

Introduction

Every government agency needs public relations. The choice is only between
good public relations and poor public relations (Starr 1968 and Marshall 1974).
Dam safety programs are no exception to this rule.
What is meant by public relations?
By definition, public relations include all of the activities that build good relations
with audiences. Public relations attempts to reinforce positive opinions, to
increase understanding and support for programs and issues, and to involve the
public in the development of policies, programs, and projects.
Administrators of state agencies, although they may recognize the desirability of
good public relations, generally make no conscious effort to reach out to the
public through a well-planned effort. This is especially true for dam safety
programs that perceive themselves as generating media attention only in the
case of dam incidents.
In fact, many dam safety activities, such as permit issuance, public hearings, and
meetings with dam owners, community representatives and public officials, can
be used as public outreach opportunities to promote two-way communications
with the agency and the public.
A public relations program will not turn public opinion around overnight. To be
effective, public relations must be an on-going and long range effort that involves
program staff. In addition, a conscious effort must be made to integrate a public
relations effort with year-round planning and operations as outlined in an
organizations strategic plan.
The best approach to any public outreach effort is a planned one. A dam safety
program benefits from positive and proactive public relations. A carefully
developed public relations plan will result in a strategy for making others aware of
what the organization is doing, why it is doing it, and why it contributes to the
welfare of the community. The plan provides the road map to exchange
information, ideas and concerns regarding program issues and activities. Once a
plan is developed, materials needed to interest the audience and media should
be assembled. A public information officer should be fully involved in the
development of materials and implementation of the campaign. All staff of the
program should also be trained in the area of public relations.

41

II.

Dam Safety Public Relations Plan

A public relations plan should include the following elements:


A. Objectives;
Setting objectives provides direction to a public relations plan. Long-term
objectives for state dam safety programs could include:
1. Promotion of program awareness among the general public, elected
officials, and other state and federal organizations;
2. Promotion of program awareness among the regulated community
through utilization of ASDSOs Dam Owner Education Program
Workshop
3. Involvement of the public in the permitting process if public input is a
component of the permit decision for a dam; and
4. Development of a public relations contingency/emergency plan in case
of dam incident.
Short-term objectives could include:
5. Advertisement of workshops, seminars or hearings to potential
attendees; and
6. Release of professional and timely information to the media during and
after dam incidents.
B. Target audiences;
Defining the audiences will be a great help in planning activities and
evaluating which activities best match both the selected audiences and
objectives. Examples of potential target audiences for dam safety
communication efforts include:
1. the general public;
2. the media;
3. persons and communities below dams;
4. dam owners;
5. state and local elected officials;

42

6. government officials;
7. consulting engineers;
8. emergency services officials;
9. federal agencies;
Students and prospective employees
10. other state organizations; and
11. and individuals or groups whose support is necessary for the
programs success.
C. Strategies;
Strategies include developing activities and materials to meet the
communication objectives for selected audiences.
These activities may include workshops, seminars, conventions, publicity
campaigns, and awards programs. Materials that can further the
objectives of the program include brochures, fact sheets, displays, slides,
media kits, newsletters, questionnaires and news releases. General topic
brochures and fact sheets that are related to the safety of dams are
available from the Federal Emergency Management Agency and from the
Association of State Dam Safety Officials.
D. Timetable;
A timetable lists deadlines that the organization can realistically meet to
carry out assignments.
E. Budget;
Budgeting comes down to making choices about where and how the
program will spend available money. If a program operates under a tight
budget, careful prioritization of public relations objectives will maximize
results.
A good way to summarize objectives, audiences and strategies is through the
use of a table.

43

Table I - Sample Dam Safety Public Relations Plan


Objectives

Audiences

Strategies

Timetable

Cost

Raise program
Awareness

Elected officials

Hold
informational
meeting, exhibit
dam safety
display at
legislature
Copy elected
official regarding
specific issues
with dams in
their district

During
legislative
session

Budget to
develop display
and
informational
materials

Raise program
awareness

Media, general
public

1) Issue news
releases, 2)
exhibit display
at public
events, 3)
develop media
contacts

1) As needed
2) Conventions,
fairs, youth
events
3) Ongoing

Funding of
public info
office, entrance
fees, budget for
printing, graphic
services

Within specified
number of days
or as law
requires

Budget for
newspaper
advertisement,
public service
announcements,
meeting rooms.

Short-term: print
newsletter;
Long-term: solicit
feedback,
conduct public
meetings

Budget for
graphic artist,
printing,
newsletter cost,
room and
meeting
expenses

Obtain public
input to the
permit process
if public
comment
affects permit
issuance
decisions,

Affected public,
regulated
community,
engineering
firms

Provide
information
about program
activities and
promote
two-way
communications

Regulated
community,
public, elected
officials,
emergency
personnel

Publish public
notices, issue
news release,
hold public
hearings/
meetings

Develop
Questionnaires &
newsletters, hold
public meetings
about program
activities, hold
an open house

44

Short-term:
prepare press
kit; Long-term:
Prepare type
and amount of
emergency
information in
advance

Be prepared for
a dam incident

Media, public,
elected officials

The agencys
public affairs
office should
assemble a
press kit,
develop public
relations
emergency
response action
plan that can be
coordinated with
the public
information
officer at the site

Raise program
awareness

Dam owners

As needed
Conduct an
ASDSO Dam
Owner Education
Program
Workshop

III.

Budget to
assemble press
kit; public
announcements

Budget for
meeting
expenses

Developing Informational Materials

Below are a number of recommended materials a dam safety program may


develop for a public outreach program.

IV.

Brochure

A brochure that outlines a programs purpose, activities, and services is a must


for every dam safety organization (See appendix J).
Brochures may be included in press kits; inserted in responses to Freedom of
Information Act (FOIA) requests or general correspondence; provided as
handouts at hearings or public meetings; placed on display racks at agency
offices or public libraries; and passed out at conventions, state fairs and other
public events.
Tip: The writing should be brief, descriptive, clear, and free of technical jargon or
bureaucratic terminology. Use simple and attractive graphics. The simpler the
brochure, the more it will be read.

45

If more than one brochure is produced, make sure to use similar paper sizes,
matching or complementary colors, type faces, and layouts.

V.

Webpage

A well designed webpage that is kept current is perhaps one of the most effective
methods of presenting useful information on the dam safety program and raising
public awareness and status of the program. Most states have a webpage as
part of the larger department website. As with printed brochures, the information
presented must be accurate, descriptive and clearly written. Many states include
information on the program mission and purpose as well as:

VI.

copies of legislation and regulations

history of the program

program organization chart

technical guidelines

references

permit application forms

general emergency action plan information

dam safety awareness information

photographs

grants and loan program information

current news

a link to the U.S. Army, Corps of Engineers dam inventory

frequently asked questions

Fact Sheets

Fact sheets are a way to provide in-depth information on specific issues and to
present topics that are subject to frequent questions. Possible topics include
dam ownership information, explanation of specific permit issues, classifications
46

of dams, size of dams, clarification of technical topics, aspects of emergency


planning, and the roles of external agencies during emergencies.

VII.

Newsletter

A newsletter can improve public understanding and participation in the dam


safety program. The publication will serve as a means of direct communication
to inform and update audiences regarding organizational developments,
regulations, concerns, and goals.
A newsletter can reach dam owners, engineering consultants, emergency
services personnel, legislators, media contacts, agency administrators, agency
field staff, and other interested persons.
A typical newsletter issue may contain: guidance about procedural matters,
applications received, permits issued, construction projects completed, new
employee profiles, interesting statistics, question and answer section, recent
emergency situation, reprints or synopsis of major changes in regulations,
calendar of events, and an ASDSO news corner.
Tip: Develop an attractive design and layout; maintain graphic continuity and
provide a few regular features such as a question and answer section. Be aware
of the informational needs of the audiences. Publish regularly and maintain an
informative style.

VIII. News Release


A basic element of any public information plan is the news release. Program
activities that include dedication of new dams, repair of popular dams, new or
revised regulations, public comment periods, or awards are newsworthy.
In drafting a news release, stick to the facts, use complete names, write with an
emphasis on community benefits and be timely. Be aware of the newspapers
deadlines and write the news release as far in advance of publication day as
possible.
A public information officer should work closely with the program in developing
and distributing news releases

IX.

Display

A display can be an effective and flexible tool to draw attention to a dam safety
program. Displays can be set up at trade shows, legislative halls, libraries, and
47

other public events. Display materials may be found in existing files and
materials. For example, if the display is to be set up at a construction-related
exhibition, before and after pictures of dam safety construction projects may be
found in existing files.
Tip: Decide on the best representative pictures, enlarge to display size and
arrange the pictures on the display backdrop. The display arrangement should
be uncluttered, easy to see at a distance, and provide simple picture captions.
Consult with a graphic artist or public information specialist to plan the look of
the display. Once a visitor approaches the display, there should be handouts
available including brochures, fact sheets, summaries of the displayed projects
(with additional pictures), current and previous issues of the dam safety
newsletter, and copies of the press kit for appropriate target individuals. Staff the
display booth with people knowledgeable about the dam safety program. Keep
approaches to the display open so that free circulation of visitors is possible.

X.

Press Kit

Dam Safety administrators should always have materials available that will
provide background information to reporters, to an interviewer on a radio talk
show, or television story. A press kit can also be used to introduce the program
to the legislature and local elected officials.
Materials include: Brochures and fact sheets, an agencys organizational chart,
copies of recent newsletters, photographs of program activities, editorials or any
articles that demonstrate the benefits that the program brings to the community.
When assembled in a folder, these materials will comprise a Press Kit.

XI.

Planning for Incidents

Every Dam Safety program is subject to the possibility of a dam incident. If an


incident occurs, an emergency/crisis communication plan can pay dividends by
managing critical information quickly and efficiently. An emergency/crisis plan
should include:
A. The general policy should be to disseminate, in coordination with the
public information officer at the site, objective and accurate information
regarding the incident, and to provide agency officials, press and radio
representatives with timely answers to questions;
B. The plan should consider the probable communications situation and radio
or cellular telephone security and procedures. Communications with key
personnel on a 24-hour basis may be necessary;

48

C. To function effectively, only designated agency officials should take


questions and provide answers. The officials must state only established
facts without any guessing or speculation;
D. Press Kits should be available to provide information regarding the dam
safety programs operations;
E. In addition to providing incident information about the immediate situation,
the agency should have a qualified person available to persons inquiring
about policy or current issues involving the program; and
F. Shortly after a major emergency incident is resolved, a press conference
should be called to summarize the incident and agency actions taken to
protect life and property.
If the Dam Safety program plans for incidents during routine times, the transition
to an emergency/crisis plan will be much smoother. The result should be an
accurate and timely information flow from the agency to the media.
See ASDSO web site for links to example: State web pages; Fact Sheets,
Newsletters

XII.

References

Marshall, Sol H. Public Relations Basics for Community Organizations,


Hollywood: Creative Book Company, 1974.
Starr, Edward. What You Should Know About Public Relations, Dobbs Ferry,
New York: Oceana Publications, 1968.
Promoting Issues & Ideas. M. Booth and Associates, Public Interest Public
Relations, 1987.
Bloomenthal, Howard. Promoting Your Cause, New York: Funk & Wagnalls,
1971.

49

GLOSSARY OF TERMS
________________________________________________
Abandonment means to render a dam non-impounding by dewatering and filling
the reservoir created by that dam with solid materials and by diverting the natural
drainway around the site.
Adverse Consequences means negative impacts that may occur upstream,
downstream, or at locations remote from the dam. The primary concerns are loss
of human life, economic loss (including property damage), lifeline disruption, and
environmental impact.
Agency means that agency, department, office, or other unit of state
government designated by state law to be responsible for implementation or
direction of this Act. (This section to be replaced in enactment of the law by a
reference to the state unit created or selected to implement and direct the Act
which may be regular state employees or specialists and consultants, including
consulting engineering firms or organizations, for any or all of the provisions of
this Act. While a single agency with the responsibilities and authorities noted in
this model is believed to provide the most direct and consistent oversight for
dams, it is recognized that there may be a need to include these dam safety
components within the existing governmental organization of several agencies
established in individual states.)
Alterations or repairs means only such alterations or repairs to existing dam
and appurtenant structures as may directly affect the safety of the dam or
reservoir, as determined by the agency.
Application Approval means authorization in writing issued by the agency to an
owner who has applied to the agency for permission to construct, reconstruct,
enlarge, repair, alter, remove, maintain, operate or abandon a dam and which
specifies the conditions or limitations under which work is to be performed by the
owner or under which approval is granted.
Appurtenant works include, but are not limited to, such structures as spillways,
either in the dam or separate there from; the reservoir and its rim; low level outlet
works; and water conduits such as tunnels, pipelines or penstocks, either through
the dam or its abutments.
ASDSO means the Association of State Dam Safety Officials.
BOR means the Bureau of Reclamation.

50

Breach means partial removal of a dam, creating a channel through the dam to
the original stream bottom elevation.
Certificate of Approval to Impound means authorization in writing issued by the
agency to an owner who has completed construction, reconstruction,
enlargement, repair, or alteration of a dam and which specifies the conditions or
limitations under which the dam and reservoir are to be maintained and operated.
COE means the U.S. Army Corps of Engineers.
Dam means any artificial barrier, including appurtenant works, with the ability to
impound water, wastewater, or liquid borne materials and which (a) is 25 feet or
more in height from the natural bed of the stream or watercourse measured at
the downstream toe of the barrier, or from the lowest elevation of the outside limit
of the barrier, if it is not across a stream channel or watercourse, to the maximum
water storage elevation; or (b) has an impounding capacity at maximum water
storage elevation of 50 acre-feet or more.
(a) This definition does not apply to any such barrier which is not in excess of
6 feet in height regardless of storage capacity or which has a storage capacity
at maximum water storage elevation not greater than 15 acre feet regardless
of height, unless such a barrier, due to its location or other physical
characteristics, is classified as a high hazard potential dam.
(b) No obstruction in a canal used to raise or lower water shall be considered
a dam.
(c) A fill or structure for highway or railroad used or for any other purpose,
which may impound water, may be subject to review by the agency and shall
be considered a dam if the criteria in this definition are found applicable.
Emergency includes, but is not limited to, breaches and all conditions leading to
or causing a breach, overtopping, or any other condition in a dam and its
appurtenant structures that may be construed as unsafe or threatening to life or
property.
Engineer means a qualified professional engineer. The term qualified
professional engineer as used in this law is intended to mean an individual who
has a background in civil engineering and;
(a) Is a licensed engineer;
(b) Is competent in areas related to dam investigation, design, construction,
and operation for the type of dam being investigated, designed, constructed or
operated;

51

(c) Has at least ten (10) years of relevant experience in areas such as
investigation, design, construction, reconstruction, enlargement, repair,
alteration, maintenance, operation, breach, removal or abandonment of dams;
(d) Understands adverse dam incidents, failures and the potential causes
and consequences of failures.
Enlargement means any change in or addition to an existing dam or reservoir,
which raises or may raise the water storage elevation of the water impounded by
the dam.
FEMA means the Federal Emergency Management Agency.
FERC means the Federal Energy Regulatory Commission.
FOIA means the Freedom of Information Act.
Hazard Potential means the possible adverse incremental consequences that
result from the release of water or stored contents due to failure of the dam or
mis-operation of the dam or appurtenances. The hazard potential classification of
a dam does not reflect in any way on the current condition of the dam and its
appurtenant structures (e.g., safety, structural integrity, flood routing capacity).
High Hazard Potential Dam means a dam assigned the high hazard potential
classification where failure or misoperation will probably cause loss of human life.
Incremental means under the same conditions (e.g., flood, earthquake, or other
event), the difference in impacts that would occur due to failure or misoperation
of the dam over those that would have occurred without failure or misoperation of
the dam and appurtenances.
Inspection means a comprehensive review of the design and performance of a
dam and appurtenant structures; site evaluation of dam, appurtenant structures
and reservoir area; approval of an emergency action plan, if required; all in
accordance with the Training Aids for Dam Safety modules on Safety Inspection
of Dams, or equivalent, conducted by or under the supervision of an engineer as
defined in the ASDSO Model State Dam Safety Program.
Inspector means a person under the direct supervision of an engineer.
Low Hazard Potential Dam means a dam assigned the low hazard potential
classification where failure or mis-operation results in no probable loss of human
life and low economic and/or environmental losses. Losses are principally limited
to the owners property.

52

Maximum Storage Capacity means the reservoir volume measured at the


maximum elevation of water surface which can be obtained by the dam or
reservoir.
MSHA means the Mine Safety and Health Administration.
NID means the National Inventory of Dams.
NPDP means the National Performance of Dams Program.
NRCS means the Natural Resources Conservation Service.
Owner includes any of the following who own, control, operate, maintain,
manage, or propose to construct, reconstruct, enlarge, repair, alter, remove or
abandon a dam or reservoir:
(a) The state and its departments, institutions, agencies, and political
subdivisions.
(b) Every municipal or quasi-municipal corporation.
(c) Every public utility.
(d) Every district.
(e) Every person.
(f) The duly authorized agents, lessees, or trustees of any of the foregoing.
(g) Receivers or trustees appointed by any court for any of the foregoing.
Owner does not include any agency of the United States government, including
those who operate and maintain dams owned by the United States. Dams
designed and constructed by the United States that will be operated by an owner
other than the United States shall be within the jurisdiction of the state from their
inception, including application approval of design and inspection of construction.
Person means any person, firm, association, organization, partnership,
business trust, corporation, or company.
Probable means likely to occur; reasonably expected; realistic.
Reconstruction means removal and replacement of an existing dam.
Removal means complete elimination of the dam embankment or structure to
restore the approximate original topographic contours of the valley.

53

Reservoir means any basin which contains or will contain impounded water,
wastewater, or liquid-borne materials by virtue of its having been impounded by a
dam.
Significant Hazard Potential Dam means a dam assigned the significant hazard
potential classification where failure or misoperation results in no probable loss of
human life but can cause major economic loss, environmental damage,
disruption of lifeline facilities, or impact other concerns. Significant hazard
potential classification dams are often located in predominantly rural or
agricultural areas but could be located in areas with population and significant
infrastructure.
USGS means the United States Geological Survey.
Water Storage Elevation means the maximum elevation of water surface which
can beobtained by the dam or reservoir.

54

APPENDIX A
MODEL STATE LAW

_____________________________

55

MODEL LAW FOR STATE SUPERVISION OF SAFETY OF


DAMS AND RESERVOIRS
It is the intent of the legislature by this Act to provide for the regulation of dams
and reservoirs exclusively by the state for the protection of public safety.
Chapter 1000. Definitions: The definitions in this chapter govern the
construction of this Act.
1001. Abandonment means to render a dam non-impounding by
dewatering and filling the reservoir created by that dam with solid materials and
by diverting the natural drainway around the site.
1002. Adverse Consequences means negative impacts that may occur
upstream, downstream, or at locations remote from the dam. The primary
concerns are loss of human life, economic loss (including property damage),
disruption of public utilities, and environmental impact.
1003. Agency means that agency, department, office, or other unit of
state government designated by state law to be responsible for implementation
and administration of this Act. (This section to be replaced in enactment of the
law by a reference to the state unit created or selected to implement and
administer the Act. The state unit created or selected to implement and
administer the Act may consist of regular state employees or specialists and
consultants, including consulting engineering firms or organizations.)
1004. Alterations or repairs means only alterations or repairs to
existing dam and appurtenant structures that affect the safety of the dam or
reservoir, as determined by the agency.
1005. Application Approval means authorization in writing issued by the
agency to an owner who has applied to the agency for permission to construct,
reconstruct, enlarge, repair, alter, remove, maintain, operate or abandon a dam
and which specifies the conditions or limitations under which work is to be
performed by the owner or under which approval is granted.
1006. Appurtenant works include, but are not limited to, such structures
as spillways, either in the dam or separate therefrom; the reservoir and its rim;
low level outlet works; and water conduits such as tunnels, pipelines or
penstocks, either through the dam or its abutments.
1007. Breach means partial removal of a dam, creating a channel
through the dam to the original stream bottom elevation.
1008. Certificate of Approval to Impound means authorization in writing
issued by the agency to an owner who has completed construction,

56

reconstruction, enlargement, repair, or alteration of a dam and which specifies


the conditions or limitations under which the dam and reservoir are to be
maintained and operated.
1009. Dam means any artificial barrier, including appurtenant works,
with the ability to impound water, wastewater, or liquid borne materials and which
(a) is 25 feet or more in height from the natural bed of the stream or watercourse
measured at the downstream toe of the barrier, or from the lowest elevation of
the outside limit of the barrier, if it is not across a stream channel or watercourse,
to the maximum water storage elevation; or (b) has an impounding capacity at
maximum water storage elevation of 50 acre-feet or more,
A. This definition does not apply to any such barrier which is not in
excess of 6 feet in height regardless of storage capacity or which has a storage
capacity at maximum water storage elevation not greater than 15 acre feet
regardless of height, unless such a barrier, due to its location or other physical
characteristics, is classified as a high hazard potential dam;
B. No obstruction in a canal used to raise or lower water shall be
considered a dam; and
C. A fill or structure for highway or railroad use or for any other
purpose, which impounds water, shall be subject to review by the agency. Such
fill or structure shall be considered a dam if the criteria of Section 1009 are
applicable.
1010. Dam Rehabilitation Loan Program means a low interest revolving
dam rehabilitation loan program, created through this Statute.
1011. Days used in establishing deadlines, means all calendar days,
including Sundays and holidays.
1012. Emergency includes, but is not limited to, breaches and all
conditions leading to or causing a breach, overtopping, or any other condition in
a dam and its appurtenant structures that may be construed as unsafe or
threatening to life or property.
1013. Emergency Action Plan means a plan that identifies the area that
would likely be inundated by the failure of a dam and the actions that should be
taken in the event of a failure or threatening condition at the dam. The plan is
usually implemented in conjunction with the local and regional emergency
government personnel.
1014. Engineer means a qualified professional engineer. The term
qualified professional engineer as used in this law is intended to mean an
individual who has a background in civil engineering and;

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A. Is a licensed professional engineer;


B. Is competent in areas related to dam investigation, design,
construction, and operation for the type of dam being investigated, designed,
constructed or operated;
C. Has at least ten (10) years of relevant experience in areas such
as investigation, design, construction, reconstruction, enlargement, repair,
alteration, maintenance, operation, breach, removal or abandonment of dams;
and
D. Understands adverse dam incidents, failures and the potential
causes and consequences of failures.
E. Continues with necessary training to keep abreast of the state of
the practice in dam safety engineering.
1015. Enlargement means any change in or addition to an existing dam
or reservoir that raises or may raise the water storage elevation of the water
impounded by the dam.
1016. Hazard Potential means the possible adverse incremental
consequences that result from the release of water or stored contents due to
failure of the dam or mis-operation of the dam or appurtenances. The hazard
potential classification of a dam does not reflect in any way on the current
condition of the dam and its appurtenant structures (e.g., safety, structural
integrity, flood routing capacity).
1017. High Hazard Potential Dam means a dam assigned the high
hazard potential classification where the dams failure or mis-operation will
probably cause loss of human life
1018. Incremental means under the same conditions (e.g., flood,
earthquake, or other event), the difference in impacts that would occur due to
failure or
mis-operation of the dam over those that would have occurred without failure or
mis-operation of the dam and appurtenances.
1019. Low Hazard Potential Dam means a dam assigned the low hazard
potential classification where failure or mis-operation results in no probable loss
of human life and low economic and/or environmental losses. Economic losses
are principally limited to the owners property.

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1020. Owner includes any of the following who own, control, operate,
maintain, manage, or propose to construct, reconstruct, enlarge, repair, alter,
remove or abandon a dam or reservoir:
A. The state and its departments, institutions, agencies, and
political subdivisions;
B. Every municipal or quasi-municipal corporation;
C. Every public utility;
D. Every district;
E. Every person;
F. The duly authorized agents, lessees, or trustees of any of the
foregoing; and
G. Receivers or trustees appointed by any court for any of the
foregoing.
1021. Person means any person, bankruptcy trustee, firm, association,
organization, partnership, business trust, corporation, LLC, LLP, or company.
1022. Probable means more likely than not to occur; reasonably
expected; realistic.
1023. Reconstruction means removal and replacement of an existing
dam, or a portion thereof.
1024. Removal means complete elimination of the dam embankment or
structure to restore the approximate original topographic contours of the valley.
1025. Reservoir means any area which contains or will contain
impounded water, wastewater, or liquid-borne materials by virtue of its having
been impounded by a dam.
1026. Significant Hazard Potential Dam means a dam assigned the
significant hazard potential classification where failure or mis-operation results in
no probable loss of human life but can cause major economic loss,
environmental damage, disruption of lifeline facilities, or impact other concerns.
Significant hazard potential classification dams are often located in
predominantly rural or agricultural areas but could be located in areas with
population and significant infrastructure.

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1027. State Dam Safety Office means that agency, department, division,
office, or other unit of State government, created, empowered, or designated by
statute to be responsible for implementation, direction, or administration of The
Model Law for State supervision of safety of dams and reservoirs.
1028. Water Storage Elevation means the maximum elevation of water
surface which can be obtained by the dam or reservoir.
Chapter 2000. General Provisions
2010. It is the intent of the legislature by this Act to provide for the
regulation of all dams and reservoirs exclusively by the state for the protection of
public safety.
2020. No political subdivision of this State may enact a rule, ordinance,
or other such law which conflicts with the regulatory authority established by this
Act. Additionally, no political subdivision of this State may enact a rule,
ordinance, or other such law which results in a dam or reservoir being regulated
less stringently than it would otherwise be regulated under this Act.
Notwithstanding the preceding, this Act shall not prevent a city or county from
adopting ordinances regulating, supervising, or providing for the regulation or
supervision of dams and reservoirs that (a) are not within this Acts states
jurisdiction; and (b) are not subject to regulation by another public agency or
body, or apply only to appurtenances such as roads and fences not germane to
the safety of the structure.
2030. All plans and specifications for initial construction, reconstruction,
enlargement, alteration, repair, operation, breach, abandonment, or removal of
dams and supervision of construction shall be in the charge of an engineer,
assisted by qualified engineering geologists and other specialists as necessary.
2040. No action shall be brought against the state, the agency or its
agents or employees for the recovery of damages caused by the partial or total
failure of any dam or reservoir as a result of the agencys inspection or regulation
of such dam or reservoir:
2050. Nothing in this Act shall be construed to relieve an owner or
operator of a dam or reservoir of the legal duties, obligations, or liabilities incident
to the ownership or operation of the dam or reservoir.
2060. The findings and orders of the agency, an agencys approval of an
application, and the certificate of approval to impound of any dam or reservoir
issued by the state are final, conclusive and binding upon all owners, state
agencies, and other government agencies, regulatory or otherwise, as to the
safety of design, construction, reconstruction, enlargement, repair, alteration,
breach, removal, abandonment, maintenance, and operation of any dam or

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reservoir. The agencys approval of an application or a certificate of approval to


impound will not be considered final if it can be demonstrated to the agency that
the agencys approval of the relevant application or certificate of approval was
based on one or more misrepresentations.
2070. Nothing in this Act shall be construed to deprive any owner of such
administrative or judicial recourse to the courts as he may be entitled to under
the laws of this state.
2080. Records of official actions of the agency pertaining to the
supervision of dams and reservoirs are public documents.
2090. Current owners shall notify the agency of any proposed change in
ownership of any dam subject to this Act prior to the transfer of ownership.
Chapter 3000. Administrative Provisions
3010. The agency shall be administered and directed by an engineer,
licensed by this state, and clearly qualified by training and experienced in the
design, construction, reconstruction, enlargement, repair, alteration, breach,
removal, maintenance, operation and abandonment of dams and reservoirs, and
it shall employ such clerical, engineering, and other assistants as are necessary
for carrying on the work of dam and reservoir supervision in accordance with this
Act.
3020. The agency may require additional independent specialists or
consulting boards for technical considerations pertaining to an application,
approval for plans and specifications or certificate of approval to impound water.
Appointment of these specialists/consulting boards must be approved by the
agency. The expenses of these specialists/consulting boards shall be paid for
entirely by the owner.
Chapter 4000. Powers of the Agency
Article 4100. Powers in General
4110. The agency, under the police power of the state, shall review and
approve the design, construction, reconstruction, enlargement, alteration, repair,
maintenance, operation, breach, abandonment and removal of dams and
reservoirs for the protection of life and property as provided in this Act.
4120. All dams and reservoirs in the state shall be under the jurisdiction of
the agency.
4130. It is unlawful to construct, reconstruct, enlarge, repair, alter,
remove, maintain, operate or abandon any dam or reservoir coming within the

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purview of this Act except upon application approval of the agency, provided that
this section shall not be deemed to apply to routine maintenance and operation
not affecting the safety of the structure, provided that action taken under Chapter
8000, Article 2 Emergency Actions will not require an application.
4140. In order to protect life and property, owners of high and significant
hazard potential dams shall develop, and periodically test and update, an
emergency action plan that shall be implemented in the event of an emergency
involving that owners dam(s). This plan shall include, but not be limited to, the
following elements
A. Emergency notification plan with flowchart;
B. Statement of purpose;
C. Project description;
D. Emergency detection, evaluation, and classification;
E. General responsibilities;
F. Preparedness;
G. Inundation maps or other acceptable description of the
inundated area; and
H. Appendices.

4150. For the purposes of evaluating the adequacy of a dam owners


emergency action plan, the agency shall review and approve each emergency
action plan submitted under the provisions of this Act.
4160. In making any investigation or inspection necessary to enforce or
implement this Act, the agency or its representatives may enter upon such
private property of the dam owner as may be necessary.
4170. When the agency determines that a dam and reservoir constitutes a
risk to life or property, the agency shall order the owner to take such action as
necessary to remove the resultant risk to life and property.
Article 4200. Investigations and Studies
4210. The agency shall investigate and gather or cause the owner to
gather such data including advances made in safety practices elsewhere, as may
be needed for a proper review and study of the various features of the design,

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construction, reconstruction, repair, enlargement, alteration, breach, removal,


maintenance, operation, or abandonment of dams, reservoirs, and
appurtenances.
4220. The agency shall make or cause the owner to make such
watershed investigations and studies as shall be necessary to keep abreast of
development affecting run-off and peak storm discharges from the dam
4230. The agency shall make or cause the owner to make seismic
investigations and studies as shall be necessary to keep abreast of
developments affecting seismic stability of dams.
Article 4300. Administrative and Legal Actions
4310. The agency may take any administrative or legal action necessary
for the enforcement of this Act.
4320. An action or proceeding under this article may be initiated
whenever any owner or any person acting as an agent of any owner is:
A. Failing to comply with the requirements imposed by this Act or
by any application approval, certificate of approval to impound, order, rule,
regulation, or requirement of the agency under the authority of this Act; or
B. Committing or allowing the commission of violations of this Act
or any application approval, certificate of approval to impound, order, rule,
regulation, or requirement of the agency under this Act.
4330. Any action or proceeding under this article shall be initiated either
administratively or by appropriate legal filing in a court of appropriate jurisdiction
in which:
A. The dam, area of hazard potential, or some part thereof exists;
B. The owner or person complained of has its principal place of
business;
C. The person complained of resides; or
D. The state capitol resides.
Article 4400. Regulations and Standards
4410. The agency shall have the power and duty to adopt such
regulations and standards for the design, construction, reconstruction,
enlargement, alteration, operation, monitoring, maintenance, modification, repair,

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breach, abandonment and removal of dams and reservoirs to carry out the
purposes of this Act. The regulations shall include, but are not limited to, rules
establishing:
A. Standards and criteria for the siting and design of dams
considering both existing and projected conditions which may affect the safety of
a project during its construction and operational life;
B. Requirements for operation of dams including operational plans
to be prepared and implemented by owners;
C. Requirements for monitoring, inspection and reporting of
conditions affecting the safety of dams;
D. Requirements for emergency action plans to be prepared and
implemented by owners, in cooperation with civil authorities;
E. Reasonable fees for the processing of applications and periodic
inspections, for the purpose of reimbursing the state for the costs of
administration of this Act; and
F. Requirements that the owner of an approved dam be financially
responsible.
4420. In promulgating regulations pursuant to this Act applicable to dams
regulated by this Act which may present a risk to life or property, the agency shall
consider:
A. the inclusion of the best available preventative measures
necessary to assure protection of life, health, property and the environment with
an adequate factor of safety;
B. water management and the impacts of development in
watersheds and;
C. the state of scientific and technological knowledge at the time
the regulations are adopted.
Chapter 5000. Applications
Article 5100. New Dams or Enlargements of Dams
5110. Construction of any new dam or the enlargement of any dam shall
not be commenced until the owner has applied for and obtained from the agency
written application approval of plans and specifications.

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5120. A separate application for each dam shall be filed with the agency
upon forms provided by the agency. Plans and specifications signed and sealed
by the design engineer must accompany the application.
5130. The application shall provide the following information:
A. The name and address of the owner;
B. The location, type, size, purpose, and height of the proposed
dam and reservoir and appurtenant works;
C. The storage capacity and reservoir surface areas for normal
pool and maximum water storage elevation;
D. Plans for proposed permanent instrument installations in the
dam;
E. As accurately as may be readily obtained, the area of the
drainage basin, rainfall and streamflow records, flood-flow records and estimates;
F. Maps and design drawings showing plans, elevations, and
sections of all principal structures and appurtenant works with other features of
the project in sufficient detail, including design analyses, to determine safety,
adequacy and suitability of design; and
G. Proof of financial responsibility
H. Such other pertinent information as the agency requires.
5140. The agency shall, when in its judgment it is necessary, also require
the following:
A. Data concerning subsoil and rock foundation conditions and the
materials involved in the construction, or enlargement of the dam or reservoir;
B. Investigations of, and reports on, subsurface conditions,
exploratory pits, trenches and adits, drilling, coring, geophysical tests to measure
in place and in the laboratory the properties and behavior of foundation materials
at the dam and reservoir site;
C. Investigations and reports on the geology of the dam or
reservoir site, possible geologic hazards, seismic activity, faults, weak seams
and joints, availability and quality of construction materials, and other pertinent
features;

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D. Separate emergency action plans (EAP) for construction and


post construction periods; and
E. Such other appropriate information as may be necessary.
Article 5200. Reconstruction, Repairs, Alterations, Abandonment, Breach or
Removals
5210. Before commencing the reconstruction, repair, or alteration of a
dam, or the abandonment, breach or removal of a dam so that it no longer
constitutes a dam as defined in this Act, the owner shall file an application and
secure the written approval of that application by the agency. Repairs shall not
be deemed to apply to routine maintenance and operation not affecting the safety
of the dam.
A. The application shall give such pertinent information or data
concerning the dam, as may be required by the agency;
B. The application shall give the name and address of the
applicant, and shall adequately detail, with appropriate references to the existing
dam, the proposed reconstruction, repair, alteration, abandonment, breach, or
removal of the dam. The application shall be accompanied by plans and
specifications signed and sealed by the design engineer. The agency may waive
any of the requirements of the application process outlined in this section if: (1)
the requirements are unnecessary for the application approval, or (2) an
emergency is declared by the agency.
C. In case of an emergency where the agency declares that
repairs or breaching of the dam is necessary to safeguard life and property,
repairs or breaching shall be started immediately by the owner or by the agency
at the owners expense. The agency shall be notified at once of emergency
repairs or breaching when instituted by the owner; and
D. The proposed repairs, breaching and work shall conform to
such orders as the agency issues.
Article 5300. Application Approval
5310. Upon receipt of an application the agency shall approve or
disapprove the application within the time provided in Section 5330.
5320. If an application is incomplete or defective, the agency shall return
the application to the applicant to correct the defects. If the applicant wishes to
pursue the agencys approval of the application, the applicant must correct the
defects in the application and must resubmit the application to the agency within
30 days, or such additional time as the agency may grant the applicant, after the

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agency returns the application to the applicant. If the application is not returned
to the agency within the appropriate time period, the agency shall reject the
application.
5330. No applications shall be approved in fewer than 10 days after the
receipt of the fee required by Article 6100, but all applications shall be approved
or disapproved as soon as practicable thereafter. At the discretion of the agency,
public hearings may be held on each application.
5340. Application approval shall be granted with terms, conditions, and
limitations necessary to safeguard life and property.
5350. Actual construction, reconstruction, enlargement, repair, alteration,
breach, removal, or abandonment shall be commenced within the time frame set
by the agency; otherwise, the application approval becomes void.
5360. The agency may, upon written application and for good cause
shown, extend an owners time for commencing construction, reconstruction,
repair, alteration, breach, removal, or abandonment of a dam or reservoir.
5370. Written notice shall be provided to the agency at least 10 days
before construction, reconstruction, repair, alteration, breach, removal, or
abandonment is to begin and such other notices shall be given to the agency as
it may require.
Chapter 6000. Fees
Article 6100. The application for construction, reconstruction, enlargement,
repair, alteration, breach, removal, or abandonment of a dam shall set forth the
estimated cost of the project and shall be accompanied by a filing fee as
established in the regulations.
6110. Only one filing fee shall be collected for an enlargement of a dam
by flashboards, sandbags, earthen levees, gates, or other works, devices, or
obstructions which will from time to time, be removed and replaced or opened
and shut and thereby operated so as to vary the surface elevation of the
reservoir.
6120. For the purposes of this Act, the estimated cost of the dam
construction, reconstruction, enlargement, repair, alteration, breach, removal, or
abandonment involved shall include the following:
A. The cost of all labor and materials for the dam, appurtenant
works and reservoir;
B. The cost of preliminary investigations and surveys;

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C. The cost of the construction plant properly chargeable to the


cost of the dam and reservoir; and
D. Any and all other items entering directly into the cost of the dam
and reservoir.
6130. Excluded from the cost listed in Section 6120 shall be:
A. The costs of right-of-way, detached powerhouses, electrical
generating machinery, and roads and railroads affording access to the dam and
reservoir; and
B. Any and all other items not entering directly into the cost of the
dam and reservoir.
6140. Dams and reservoirs that are 90 percent or more constructed,
reconstructed, enlarged, repaired, altered, removed or abandoned on the
effective date of this Act as determined by the agency and that are subject to the
provisions of this Act shall not be required to pay a fee but shall submit an
application for approval and issuance of an application approval. Application
approvals of dams and reservoirs that are made subject to this Act that are found
by the agency to have been less than 90 percent constructed, reconstructed,
enlarged, repaired, altered, removed or abandoned on the effective date of this
Act shall be accompanied by fees reduced by the percentage of construction,
reconstruction, enlargement, repair, alteration, breach, removal or abandonment
found by the agency to have been completed on that date.
6150. An application approval shall not be considered by the agency until
the filing fee is received. All or part of the filing fee may be returned to the
applicant only if he withdraws or cancels the application any time prior to the start
of construction, reconstruction, enlargement, repair, alteration, breach, removal
or abandonment. The amount of the refund will be determined by the agency with
due regard to funds actually expended by the agency in review of the application.

6160. Within 30 days after giving the notice of completion required in


Section 7110 and Section 7310, the owner shall file a sworn affidavit with the
agency stating the actual cost of the dam and reservoir or enlargement thereof.
to determine whether a further fee is due. In the event the owner of a new or
enlarged dam, because of loss of records, recent change of ownership, or other
causes beyond his control, is unable to report the actual cost of construction,
reconstruction, enlargement, repair, alteration, breach, removal or abandonment,
he shall file an affidavit, stating the reasons why. The agency shall then make its
own appraisal of the cost of construction, reconstruction, enlargement, repair,

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alteration, breach, removal or abandonment, and determine what further fee, if


any, is required.
6170. All filing fees and other charges collected under the provisions of
this Act shall be paid into a special fund in the state treasury, to be available to
the agency for expenditure for the purposes authorized by this Act.
6180. The fees provided for in this article shall be required of all owners
as defined in Chapter 1000 of this Act.
Article 6200. Annual Registration Fees and Inspection Fees
6210. Owners of existing dams holding certificates of approval to
impound shall be assessed an annual registration fee as established in the
regulations. Existing certificates of approval to impound will be extended for one
year upon receipt of the annual registration fee. Any certificate of approval to
impound is void without notification to the person holding the certificate of
approval to impound when the annual registration fee is more than forty-five (45)
days past due. Resubmission of an application is required where a certificate of
approval to impound has become void due to failure to pay the appropriate
annual registration fee within 45 days of the date due; and
6220. Dam owners shall pay a fee following state inspections conducted
in accordance with Section 8130 of this Act.

Chapter 7000. Inspections and Certificates of Approval to Impound


Article 7100. New, Reconstructed or Enlarged Dams and Reservoirs
7110. The design engineer shall be represented during construction as
specified in Section 7610. Immediately upon completion of a new or
reconstructed dam and reservoir, or enlargement of a dam and reservoir, the
owner shall give a notice of completion to the agency. The owner shall file with
the agency a statement signed by the design engineer certifying that the project
was constructed, reconstructed or enlarged in conformance with approved plans
and specifications, accompanied by supplementary drawings or descriptive
matter signed and sealed by the design engineer showing or describing the dam
and reservoir as actually constructed, reconstructed, or enlarged. Such
supplementary materials shall include, but not be limited to, the following:
A. A record of all geological boreholes and grout holes and
grouting;
B. A record of permanent location points, benchmarks and
instruments embedded in the structure;

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C. A record of tests of concrete or other material used in the


construction, reconstruction, or enlargement of the dam and reservoir; and
D. A record of initial seepage flows and embedded instrument
readings.
Article 7200. Certificates of Approval to Impound
7210. Each dam owner must hold a valid certificate of approval to
impound in order to legally impound water under the laws of this State.
7220. A certificate of approval to impound shall be issued by the agency
upon a finding by the agency that the dam and reservoir are safe to impound
water within the limitations prescribed in the application approval. No water shall
be impounded by a dam or reservoir prior to issuance of a valid certificate to
impound.
7230. Each certificate of approval to impound issued by the agency under
this Act shall contain such terms and conditions as the agency may prescribe.
7240. The agency shall revoke, suspend, or amend any certificate of
approval to impound whenever it determines that the dam or reservoir constitutes
a danger to life and property. Upon the agencys revocation of a certificate to
impound, the owner of the dam must take action within time limits specified by
the agency to alleviate the hazard associated with the dam.
7250. Before any certificate of approval to impound is revoked by the
agency, the agency shall hold a public hearing. Written notice of the time and
place of the hearing shall be mailed, at least 10 days prior to the date set for the
hearing, to the holder of the certificate to impound. Any interested person(s) may
appear at the hearing and present their views and objections to the proposed
action. Any petition to a court of appropriate jurisdiction to inquire into the validity
of action of the agency revoking a certificate of approval to impound shall be
commenced within 30 days after the date the agency issues its decision to
revoke the owners certificate to impound. An appeal of the agencys decision
shall not be constitute an automatic stay of the agencys action.

Article 7300. Repaired or Altered Dams and Reservoirs


7310. Immediately upon completion of the repair or alteration of any dam
or reservoir, the owner shall give written notice of completion to the agency. The
design engineer shall file with the agency a written statement certifying that the
repairs or alterations were completed in accordance with the approved plans and
specifications. The statement shall be accompanied by supplementary drawings

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and descriptive matter signed and sealed by the design engineer describing the
dam and reservoir as repaired or altered together with such maps, data, records,
and information pertaining to the dam and reservoir as repaired or altered.
7320. A certificate of approval to impound shall be issued upon a finding
by the agency that the dam and reservoir are safe to impound water within the
limitations and conditions prescribed in the application approval. Pending
issuance of a new or revised certificate of approval to impound, the owner of the
dam or reservoir shall not cause the dam or reservoir to impound water beyond
the limitations or conditions prescribed in the existing application approval.
Article 7400. Removal, Breach, or Abandonment of Dams and Reservoirs
7410. Upon completion of the removal, breach, or abandonment of a
dam, the design engineer shall file with the agency a written statement certifying
that the breach, removal or abandonment was completed in accordance with the
approved plans and specifications.
7420. Before final approval of the removal of a dam or reservoir is issued,
the agency shall inspect the site of the work and determine that all work was
accomplished in substantial conformance with the approved application.
7430. Following the removal of a dam or reservoir, the agency may report
this event in a timely manner to the National Inventory of Dams (NID)
Article 7500. Complaints of Unsafe Conditions
7510. Upon receipt of a written complaint alleging that the person or
property of the complainant is endangered by the construction, reconstruction,
enlargement, repairs, alterations, maintenance, or operation of any dam and
reservoir, the agency shall cause an inspection and investigation to be made
unless the data, records, and inspection reports on file are found adequate to
make a determination whether the complaint is valid. The complainant shall be
provided with a copy of the official report of the inspection and investigation.
7520. If the agency finds that an unsafe condition exists, the agency shall
notify the owner to take such action as is necessary to render or cause the
condition to be corrected, including breaching or removal of any dam found
beyond repair. If the owner is unavailable or unresponsive, the agency may
commence action under Chapter 8000, Article 8200 Emergency Actions.
Article 7600. Inspection During Progress of Work
7610. During the construction, reconstruction, enlargement, repair,
alteration, breach, abandonment or removal of any dam or reservoir, the agency
shall make periodic inspections for the purpose of ascertaining compliance with

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the approved plans and specifications. The agency shall require the owner to
provide adequate supervision by an engineer during construction, reconstruction,
enlargement, repair, alteration, breach, removal or abandonment and to provide
sufficient information to enable the agency to determine that conformity with the
approved plans and specifications is being attained. The design engineer shall
be continuously represented on-site during construction.
7620. If, after any inspection or investigation, during the construction,
reconstruction, enlargement, repair, alteration, breach, removal or abandonment,
or at any time prior to issuance of a certificate of approval to impound, it is found
by the agency that modifications or changes are necessary to ensure the safety
of the dam, the agency shall order the owner to revise his plans and
specifications.
7630. If at anytime during construction, reconstruction, enlargement,
repair, alterations, breach, removal, or abandonment of any dam and reservoir,
the agency finds that the work is not being done in accordance with the
provisions of the approved plans and specifications, the agency shall deliver a
written notice of noncompliance to the owner. The notice shall be delivered by
registered mail or by personal service to the owner.
A. The notice of non-compliance shall state the particulars in which
the approved plans and specifications are not being or have not been complied
with and shall order the immediate compliance with the approved plans and
specifications; and
B. The agency may order that no further work be done until such
compliance has been effected and approved by the agency.
7640. A failure to comply with the application approval may cause
revocation of application approval by the agency. If compliance with the notice is
not forthcoming in sixty days, the agency shall order the incomplete structure
removed sufficiently to eliminate any safety hazard to life or property.

Chapter 8000. Maintenance, Operation, Emergency Actions and Funding


Article 8100. Maintenance and Operation
8110. The agency shall regulate the maintenance and operation of dams
and reservoirs as necessary to safeguard life and property from a dam failure.
8120. The agency shall require owners to keep available and in good
order, records of original and any modification construction. The owner shall
report at least annually with respect to maintenance, operation and engineering,
including horizontal and vertical controls, seepage measurements, piezometric

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data and geologic investigations. The agency shall require engineering and
geologic investigations to safeguard life and property. The agency may accept
reports of equivalent inspections prepared by governmental agencies. In
addition, the owner of a dam and reservoir shall immediately advise the agency
of any flood or unusual circumstances which may affect the safety of the dam
and reservoir.
8130. The agency shall make inspections of dams and reservoirs at any
time for the purpose of determining their safety. If serious safety concerns are
found by the agency during the inspections, the agency shall require the owner to
conduct tests and investigations sufficient for the agency to determine the
condition of the dam. After review of the tests or investigations, the agency may
require modification, removal or breach of the dam or alteration of operating
procedures to restore or improve the safety of the dam, and may require
installation of instrumentation to monitor the performance of the dam.

Article 8200. Emergency Actions


8210. Owners of dams and reservoirs have the primary responsibility for
determining when an emergency involving a dam or reservoir exists. When the
owner of a dam or reservoir determines an emergency exists, the owner shall
immediately implement the emergency action plan required by Section 4140,
notify any persons who may be endangered if the dam should fail, notify
emergency management organizations, and take additional actions necessary to
safeguard life, health and property.
8220. If necessary actions are not being taken by the owner in the
judgment of the agency, the agency has the authority and shall take any action
necessary to protect life and property if, in the agencys judgment, either:
A. The condition of any dam or reservoir is so dangerous to the
safety of life or property as not to permit time for the issuance and enforcement
of an order relative to maintenance or operation, or
B. Passing or imminent floods or any other condition threatens the
safety of any dam or reservoir.
8230. In applying the remedial means provided for in this article, the
agency may in an emergency with its own forces, or by other means at its
disposal, do any or all of the following:
A. Take full charge and control of any dam or reservoir;
B. Lower the water level by releasing water from the reservoir;

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C. Completely drain the reservoir;


D. Perform any necessary remedial or protective work at the site;
or
E. Take such other steps as may be essential to safeguard life and
property.
8240. The agency shall continue in full charge and control of such dam
and reservoir and its appurtenances until they are rendered safe or the
emergency occasioning the action has ceased and the owner is able to take back
such operations. The agencys take-over of the dam, the reservoir, or their
appurtenances shall not relieve the owner of a dam or reservoir of legal liability to
the agency or third parties for those items which are causing an emergency
situation. The agencys assumption of control over the dam shall not constitute
a takings and the agency shall not be liable to the dam owner or others for
diminution in value that may be caused by the agencys work.

Article 8300. Funding


8310. The cost and expense of the remedial means provided in this
article, including cost of any work done to render a dam and reservoir or its
appurtenances safe, shall be collected by presentation of bills to owners in the
same manner as other debts to the state are recoverable. If such bills are not
promptly paid by the owners, the cost shall be recovered by the state from the
owner by action brought by the agency in a court of appropriate jurisdiction.

8320. Emergency Dam Repair Fund


A. The emergency dam repair fund shall be funded through monies
appropriated by the legislature and monies collected by the agency in full or
partial satisfaction of liens created by Subsection 8320 B (iii). Monies in the fund
shall be used to employ remedial measures necessary to protect life and
property in accordance with provisions of Section 8230 and Section 8240. The
agency shall administer the fund. On notice from the agency, the state treasurer
shall invest and divest monies in the fund and monies earned from investment
shall be credited to the fund. Monies in the emergency dam repair fund are
exempt from lapsing.
B. The agency may spend monies from the emergency dam repair
fund established by Section 8320 with the following provisions:
i. If monies in the emergency dam repair fund are
insufficient to pay for such remedial measures, the agency may transfer monies

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from the non-emergency dam repair fund established by Section 8330 to meet
necessary costs of employing remedial measures;
ii. The agency shall remain in full charge and control of the
dam, reservoir and appurtenances until they have been rendered safe or the
emergency has terminated;
(iii). The costs and expenses of the control, regulation and
abatement provided by this section, including costs of construction,
reconstruction, enlargement, repair, alteration, breach, removal or abandonment
work done to render the dam, reservoir, or appurtenances safe, shall constitute a
statutory lien against all property of the owner. The lien shall be considered prior
and superior to all other mortgages, liens or encumbrances of record even if
those other mortgages, liens, or encumbrances were filed before the lien
becomes due.
iv. The lien referred to in Subsection 8320 B (iii) may be
perfected and foreclosed in advance of construction, reconstruction,
enlargement, repair, alteration, breach, removal or abandonment or after
completion of the construction, reconstruction, enlargement, repair, alteration,
breach, removal or abandonment. If perfected in advance, the lien shall be
perfected by the filing of an affidavit of the agency setting forth the estimate of
the costs of construction, reconstruction, enlargement, repair, alteration, breach,
removal or abandonment within the county in which the dam is located in the
same manner as prescribed for mechanics liens. When the affidavit is filed, the
amount set forth in the affidavit shall be a lien in such amount against all property
of the owner. If the actual cost of construction, reconstruction, enlargement,
repair, alteration, breach, removal or abandonment exceeds the estimated cost,
the agency may amend the affidavit setting forth the additional estimated cost. If
the estimated cost exceeds the actual costs of construction, reconstruction,
enlargement, repair, alteration, breach, removal or abandonment at completion,
the agency shall file an amended affidavit at completion. If a lien is perfected in
advance and the construction, reconstruction, enlargement, repair, alteration,
breach, removal or abandonment is not commenced within two years from the
date of perfection, the lien shall be void. The agency shall file a satisfaction of
lien upon payment of the costs of construction, reconstruction, enlargement,
repair, alteration, breach, removal or abandonment by the owner;
v. Monies collected in full or partial satisfaction of a lien
created pursuant to Section 8320 B (iii) of this section shall be deposited in the
emergency dam repair fund established by Section 8320.
8330. Non-Emergency Funding
A. The Agency shall create a Dam Rehabilitation Loan Program; or
may partner with other public or private agencies or organizations to create a

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Dam Rehabilitation Loan Program. The program shall initially be funded with
$XX Million through monies appropriated by the legislature and:
i. The State Legislature may authorize required funding to
expand the financial size of the Dam Rehabilitation Loan Program.
ii. The Dam Rehabilitation Loan Program is a revolving fund
to be used exclusively for the purposes of this law. The Program shall be initially
funded through monies appropriated by the legislature
iii. The Program shall be subsequently funded through
additional monies appropriated by the legislature or agency inspection fees
collected, filing fees collected pursuant to Article 6100 and Article 6200,
payments of principal and interest collected by the agency pursuant to Section
8330, civil penalties collected pursuant to Section 9050, monies paid to the fund
pursuant to directive of the legislature and all interest earned on the investment
of monies in the fund by the state treasurer.
iv. The Dam Rehabilitation Loan Program may obtain funds
through partnerships with any private or public, bonding or loaning, agency or
organization.
v. State funding to the Dam Rehabilitation Loan Program
cannot be reduced because of federal funds provided for a rehabilitation loan
program.
vii. Monies in the Dam Rehabilitation Loan fund do not
revert to the State general fund. Monies in the fund are exempt from lapsing.
B. The following Dam Rehabilitation Loan Program provisions
apply:
i. Monies in the fund shall be used for loans as provided in
Section 8330 A. The agency may transfer monies in the fund to the
emergency dam repair fund established by Section 8320 to pay
necessary costs of remedial measures as authorized in Section
8230 and Section 8240; and
ii. The agency may grant loans from the non-emergency
dam repair fund to dam owners to defray the costs of repairing
dams which the agency determines to be dangerous to the safety
of life and property but which are not in an emergency condition.
Loans shall be granted on such terms and conditions as may be
imposed by the agency. The following provisions apply:
(a) The Agency shall adopt administrative rules that
are required to administer this statute.

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(b) The Agency may take any administrative or legal


action necessary for the administration of this statute.
iii. If the balance of the non-emergency dam repair fund
exceeds one million dollars, no single loan shall be made for more
than twenty percent of the monies available in the fund. No loan
shall be made to any dam owner that, at the time of the loan
application, has more than twenty percent of the outstanding loans
of the fund;
iv. The loans granted by the agency shall be for a term of
not more than twenty years; and the loans shall bear interest at
rates set by the agency in the regulations;
v. Each loan shall be evidenced by a contract between the
dam owner and the agency, acting on behalf of this state. The
contract shall provide for the loan by this state of a stated amount
to defray some or all of the costs of repairing the dam. The contract
shall provide for equal annual payments of principal and interest for
the term of the loan. Eligible cost provisions include:
(a) Any costs directly related to rehabilitating safety
deficiencies of a dam shall be eligible to be funded through the
Dam Rehabilitation Loan Program.
(b) Fees for analysis, feasibility work, alternative
evaluation, and engineering design, are only eligible
retroactively after construction has been initiated, or at the point
that analysis has shown a dam to be in compliance.
(c) Up to 100% of rehabilitation costs for a dam may
be loaned.
(d) Dam owners may use multiple programs or
sources to fund the rehabilitation costs for a dam, up to 100% of
rehabilitation costs.
(e) Rehabilitation cost for any dam is eligible, except
for dams owned by the federal government.
(f) Any costs directly related to compliance with other
laws and regulations, above the States minimum dam safety
requirements are eligible as part of an overall rehabilitation
project.
(g) Any costs for State agency required fish passage
is eligible if it is part of an overall rehabilitation project; but such

77

costs are not eligible if they are not part of an overall


rehabilitation project.
vi. The agency may take whatever security interest it deems
necessary in the dam owners property in exchange for the loan. If
the agency chooses to take a security interest in the dam owners
property, the agency shall perfect that security interest by filing
appropriate documentation with the proper authorities.
vii. The attorney general or the agencys legal counsel may,
with the consent of the agency, commence whatever actions are
necessary to enforce the contract and achieve repayment of loans
provided by the agency pursuant to this section.
C. Owners responsibilities include:
i. Once a loan has been granted under this statute, the
owner of a dam must have an operation and maintenance plan with
written, regularly scheduled reports, so as to maintain and keep the
structure and its appurtenant works in the state of repair and
operating condition required by the exercise of prudence; due
regard for life or property; the application of sound and accepted
engineering principles; the provisions of rules, guidelines, or
policies.
ii. As part of any rehabilitation project utilizing funds from this
program the owner must have an emergency action plan developed
(if one doesnt currently exist).
iii. Cooperate with the Agencys agents, engineers, and other
employees in the conduct of the statute.
iv. Facilitate access to the structure or appurtenance.
v. Furnish upon request the plans, specifications, operating
and maintenance data, or other information that is pertinent to the
structure, appurtenance, and loan.
D. General Loan Guidelines
i. Owners of dams without taxing authority should be allowed
to participate in the Dam Rehabilitation Loan Program.
ii. Complete rehabilitations are to be encouraged, but
phased projects can be funded.

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iii. Removal of dams as a rehabilitation alternative should be


allowed.
iv. As part of the application process, owners should
demonstrate the ability to appropriately operate and maintain the
dam after rehabilitation is complete.
v. Owners are allowed to partner with an individual, local
agency, or organization, for purposes of the loan, and for purposes
of operation and maintenance.
vi. Rehabilitation projects that are in compliance with State
statute and rules, and are permitted, accepted, and approved by
the State Dam Safety Office are eligible to be funded through the
Dam Rehabilitation Loan Program.
vii. If a dam is exempt from State regulation, to obtain
funding through the Dam Rehabilitation Loan Program, the project
must adhere to State standards that relate to design, construction
and provisions of this act.
viii. Costs for lake enhancement projects such as, lake
dredging, sediment removal projects, or boat ramps, which do not
enhance the safety of the dam, are not eligible to be funded
through the Dam Rehabilitation Loan Program.
ix. The Agency and its agents, engineers, and other
employees may, for the purposes of this Model State Law, enter
upon any land or water in the State without a search warrant or
liability for trespass.
x. The State Legislature authorizes staff positions, required
funding, and organizational structure, to administer the Dam
Rehabilitation Loan Program.
xi. This statute does not create a liability for damages
against the Agency, its officers, agents, and employees caused by
or arising out of any of the following:
(a) The construction, maintenance, operation, or
failure of a dam, or appurtenant works.
(b) The issuance and enforcement of an order or a
rule issued by the Agency to carry out the Agencys duties.

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xii. The State does not assume ownership obligations,


responsibilities, or liabilities if an owner defaults on a loan.

Chapter 9000. Offenses and Penalties


9010 Penalties
A. Whenever the Agency finds that any owner or any person has
violated any provision of the Act or any rule, regulation or order issued
pursuant thereto, the Agency may:
i. Issue an order requiring any such person to comply in
accordance with subsection B. of this section; or
ii. Bring a civil action in accordance with subsection C. of this
section; or
iii. Levy a civil administrative penalty in accordance with
subsection D. of this section; or
iv. Bring an action for a civil penalty in accordance with
subsection E. of this section; or
v. Petition the Attorney General to bring a criminal action in
accordance with subsection F. of this section.
Recourse to any of the remedies available under this section shall not
preclude recourse to any of the other remedies prescribed in this
section or by any other applicable law.
B. Whenever, on the basis of available information, the Agency
finds a person in violation of any provision of this Act or any rule,
regulation or order issued pursuant thereto, the Agency may issue an
administrative order:
i.

Specifying the provision or provisions of the law,


rule, regulation, or order, of which the person is in
violation;

ii.

Citing the action which constituted the violation;

iii.

Requiring compliance with the provision or


provisions violated;

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iv.

Requiring the restoration of the area which is the


site of the violation; and

v.

Providing notice to the person of the right to a


hearing on the matters contained in the order.

C. The Agency is authorized to institute a civil action in Superior


Court for appropriate relief from any violation of this Act, or any rule,
regulation or order issued pursuant thereto. Such relief may include,
singly or in combination:

81

i. A temporary or permanent injunction, including an order or


judgment as will effectually secure the persons interested from
danger of loss from the breaking of a dam. The court may proceed
in the action in a summary manner or otherwise;
ii. Assessment of the violator for the costs of any
investigation, inspection, or monitoring survey which led to the
establishment of the violation, and for the reasonable costs of
preparing and bringing legal action under this subsection
iii.
Assessment of the violator for any costs incurred by
the State in removing, correcting, or terminating the adverse effects
resulting from any violation for which legal action under this
subsection may have been brought;
iv.
Assessment against the violator for compensatory
damages for any loss or destruction of wildlife, fish or aquatic life,
and for any other actual damages caused by a violation;
v.
A requirement that the violator restore the site of the
violation to the maximum extent practicable and feasible.
D. The Agency is authorized to assess a civil administrative
penalty of up to $25,000 for each violation of any provision of this Act, or
any rule, regulation or order issued pursuant thereto, and each day during
which each violation continues shall constitute an additional, separate,
and distinct offense. Any amount assessed under this subsection shall fall
within a range established by regulation by the Agency for violations of
similar type, seriousness, and duration. In adopting rules and regulations
establishing the amount of any penalty to be assessed, the Agency may
take into account the economic benefits from the violation gained by the
violator. No assessment shall be levied pursuant to this section until after
the party has been notified by certified mail or personal service. The notice
shall:
i. Identify the section of the law, rule, regulation or order
violated;
ii. Recite the facts alleged to constitute a violation;
iii. State the amount of the civil penalties to be imposed; and
iv. Affirm the rights of the alleged violator to a hearing. The
ordered party shall have 20 days from receipt of the notice within
which to deliver to the Agency a written request for a hearing. After
the hearing and upon finding that a violation has occurred, the
Agency may issue a final order specifying the amount of the fine
imposed. If no hearing is requested, the notice shall become final
82

after the expiration of the 20-day period. Payment of the


assessment is due when a final order is issued or the notice
becomes a final order. The authority to levy an administrative
penalty is in addition to all other enforcement provisions in this act
and in any other applicable law, rule, or regulation, and the
payment of any assessment shall not be deemed to affect the
availability of any other enforcement provisions in connection with
the violation for which the assessment is levied. Any civil
administrative penalty assessed under this section may be
compromised by the Agency upon the posting of a performance
bond by the violator, or upon such terms and conditions as the
Agency may establish by regulation.
E. A person who violates any provision of this Act or any rule,
regulation or order issued pursuant thereto, an administrative order issued
pursuant to subsection b. of this section, or a court order issued pursuant
to subsection c. of this section, or who fails to pay a civil administrative
penalty in full pursuant to subsection d. of this section, shall be subject,
upon order of a court, to a civil penalty not to exceed $10,000 per day of
such violation, and each day during which the violation continues shall
constitute an additional, separate, and distinct offense. In addition to any
penalties, costs or interest charges, the court may assess against the
violator the amount of actual economic benefit accruing to the violator
from the violation.
F. A person who purposely, knowingly or recklessly violates any
provision of this Act, or any rule, regulation or order issued pursuant
thereto, shall be guilty, upon conviction, of a crime of the fourth degree
and shall be subject to a fine of not less than $2,500 nor more than
$25,000 per day of violation. A second or subsequent offense under this
subsection shall subject the violator to a fine to the contrary, of not less
than $5,000 nor more than $50,000 per day of violation. A person who
knowingly makes a false statement, representation, or certification in any
application, record, or other document filed or required to be maintained
under the provisions of this Act shall be guilty, upon conviction, of a crime
of the fourth degree and shall be subject to a fine of not more than
$10,000
G. In addition to the penalties prescribed in this section, a notice of
violation of any provision of this Act, or any rule, regulation or order issued
pursuant thereto, shall be recorded on the deed of the property wherein
the violation occurred, on order of the Agency, by the clerk or register of
deeds and mortgages of the county wherein the affected property is
located and with the clerk of the Superior Court and shall remain attached
thereto until such time as the violation has been remedied and the Agency
orders the notice of violation removed.

83

H. The Agency may require an owner or person having control of a


reservoir or dam to provide any information the Agency requires to
determine compliance with any provision of this Act, or any rule, regulation
or order issued pursuant thereto.
I. Any person who knowingly, recklessly, or negligently makes a
false statement, representation or certification in any application, record,
or other document filed or required to be maintained under the provisions
of this Act shall be in violation of the act and shall be subject to the
penalties assessed pursuant to subsections D. and E. of this section.
J. All penalties collected pursuant to this section or sums collected
pursuant to Act shall be deposited in the " Non-emergency/Emergency
Dam Repair Fund," established pursuant to this Act.
K. The Agency shall have the authority to enter any property,
facility, premises, or site for the purpose of conducting inspections to
determine the condition of any dam, or to conduct inspections of ordered
repairs or to otherwise determine compliance with the provisions of this
Act.
9020 Cease and Desist Order; Temporary Cease and Desist Order; Hearing;
Injunctive Relief
A. Except as provided by Subsection B of this section, if the
agency has reason to believe that an owner or person is violating or has
violated a provision of this Act, application approval, certificate of approval
to impound, rule, regulation, order or requirement of the agency issued or
adopted pursuant to this Act, the agency shall give the owner or person
written notice by certified mail that the owner or person may appear and
show cause at a hearing before the agency not less than thirty days from
the date of mailing of the notice why the owner or person should not be
ordered to cease and desist from the violation. The notice shall inform the
owner or person of how to request the hearing and the consequences of
failure to request a hearing.
B. If the agency finds that an owner or person is constructing,
reconstructing, enlarging, repairing, altering, operating, removing, or
abandoning a dam without having first obtained the required application
approval of the agency, the agency shall issue a temporary order for the
owner or person to cease and desist the construction, reconstruction,
enlargement, repair, alteration, operation, breach, removal or
abandonment pending final action by the agency pursuant to Subsection
C. of this section. The temporary order shall include written notice by
certified mail to the owner or person of a hearing before the agency to
show cause why the temporary order should be vacated.

84

C. After a hearing pursuant to Subsection A or Subsection B of this


section, or after the expiration of the time to request a hearing, the agency
shall issue a decision and final order. The decision and final order may
take such form as the agency determines to be reasonable and
appropriate and may include a determination of violation, a cease and
desist order, the recommendation of a civil penalty and an order directing
that positive steps be taken to abate or ameliorate any harm or damage
arising from the violation. The owner or person affected may appeal the
hearing decision to a court of appropriate jurisdiction in which the violation
is alleged to have occurred.
D. If the owner or person continues the violation after the agency
has issued a final decision and order pursuant to Subsection C. of this
section or a temporary order pursuant to Subsection B of this section, the
agency may apply for a temporary restraining order or preliminary or
permanent injunction from a court of appropriate jurisdiction according to
the state rules of civil procedure. A decision to seek injunctive relief does
not preclude other forms of relief or enforcement against the violator.

Chapter 10000. Dams and Reservoirs Existing Prior to the Effective Date of
this Act
Article 10100.
this Act

Dams and Reservoirs Completed Prior to Effective Date of

10110. Every owner of a dam that falls within the definition of a


dam in this Act and completed prior to the effective date of this Act shall file with
the agency a separate application and any other supporting information as
required by the agency for each of these dams. Each application shall also be
accompanied by applicable application fees referenced by Article 6100.
10120. The agency shall give notice to file an application to
impound to owners of such dams or reservoirs who have failed to file such
applications as required by this article.
10130. The notice provided for in this article shall be delivered by
certified mail to the owner at his last address of record in the office of the county
tax assessor in which the dam is located Such mailing shall constitute service.
10140. The agency shall make inspections of such dams and
reservoirs.

85

10150. The agency shall require owners of such dams and


reservoirs to perform at their expense such work or tests as may reasonably be
required to disclose information sufficient to enable the agency to determine
whether to issue certificates of approval to impound, or to issue orders directing
further work at the owners expense necessary to safeguard life and property.
For this purpose, the agency may require an owner to lower the water level of, or
to drain, the reservoir.
10160. If, upon inspection or upon completion to the satisfaction of
the agency of all work that may be ordered, the agency finds that the dam and
reservoir are safe to impound water, a certificate of approval to impound shall be
issued. The agency may find that the dam or reservoir will not safely impound
water and may refuse to issue a certificate of approval to impound. Upon finding
the dam and reservoir are unsafe to impound water, the agency shall issue a
written notice to the owner, whereupon the owner shall cause the dam and
reservoir to no longer impound water after receipt of the notice.
Article 10200. Dams and Reservoirs Under Construction, Reconstruction,
Enlargement, Repair, Alteration, Breach, Removal or Abandonment Before
Effective Date of this Act
10210. Any dam or reservoir that falls within the definition of a dam
and reservoir in this Act and which the agency finds was under construction,
reconstruction, enlargement, repair, alteration, breach, removal or abandonment
and based on its findings not 90 percent constructed, reconstructed, enlarged,
repaired, altered, removed or abandoned on the effective date of this Act shall,
except as provided in Section 10220, be subject to the same provisions in this
Act as a dam or reservoir commenced after that date. Every owner of such a
dam and reservoir shall file an application with the agency for the agencys
written application approval of the plans and specifications.
10220. Construction, reconstruction, enlargement, repair,
alteration, breach, removal or abandonment work on such a dam and reservoir
may proceed, provided an application for approval of the plans and specifications
is filed, until an application approval is received by the owner approving the dam
and reservoir or an order is received by the owner specifying how the
construction, reconstruction, enlargement, repair, alteration, breach, removal or
abandonment must be performed to render the dam or reservoir safe. After
receipt of an application approval or order specifying how construction,
reconstruction, enlargement, repair, alteration, breach, removal or abandonment
of the dam or reservoir must be performed, work thereafter must be in
accordance with the application approval or order.
A. All laws and parts of law in conflict with this Act are
hereby repealed.

86

B. A declaration that certain parts of this Act are


unconstitutional shall not affect the constitutionality of other
parts of this Act.

87

APPENDIX B
EXAMPLE PERMIT REQUIREMENTS

_____________________________

CASE 1: ARIZONA

_____________________________

ARIZONA DEPARTMENT OF WATER RESOURCES


OFFICE OF DAM SAFETY AND FLOOD MITIGATION

INSTRUCTIONS FOR FILING AN APPLICATION

INTRODUCTION
This guide for filing an application has been prepared to facilitate the applicants understanding of the
application process. Any omissions or errors do not relieve the applicant from complying with applicable
sections of Arizona Revised Statutes (A.R.S.) Title 45-Waters, Chapter 6 and Arizona Administrative Code
(A.A.C.) Title 12Natural Resources, Chapter 15Department of Water Resources. The applicant must
review and comply with these documents.
Arizona Revised Statutes Title 45, Chapter 6, Article 1 A.R.S. 45-1203, A.R.S. 45-1206 and A.R.S 451207 require written approval of an application prior to construction of a new dam, or the enlargement,
repair, alteration or removal of an existing dam. The application process must comply with A.A.C. R1215-1207, which also defines specific situations that do not require an application.
In accordance with A.A.C. R12-15-1207, an applicant must contact the Arizona Department of Water
Resources (Department) Dam Safety Program at (602) 417-2445 to schedule pre-application conferences.
These conferences are to discuss the requirements of the Director for specific applications and to answer
any questions. In accordance with A.R.S. 45-1214 and A.A.C. R12-15-1207, Dam Safety staff will visit
the dam site with the applicant during the pre-application period. Depending on the hazard classification
and type of proposed construction, an application must comply with the following:

To construct, reconstruct, repair, enlarge or alter a high or significant hazard potential dam, an
application must comply with the A.A.C. R12-15-1208.
To breach or remove a high or significant hazard potential dam, an application must comply with
A.A.C. R12-15-1209.
To construct, reconstruct, repair, enlarge, alter, breach or remove a low hazard potential dam, an
application must comply with A.A.C. R12-15-1210.
To construct, reconstruct, repair, enlarge, alter, breach or remove a very low hazard potential dam, an
application must comply with A.A.C. R12-15-1211.

All application packages must be prepared in duplicate and received by the Departments Office of Water
Engineering by appointment. The Office of Water Engineering is located at 500 North Third Street,
Phoenix, Arizona 85004-3903; telephone number (602) 417-2445.
In addition to the duplicate application form provided by the Director, two complete sets of construction
documents including engineering drawings, specifications, engineering reports, calculations and other
supporting information must be submitted to the Department by appointment with the proper filing fee.
The required documents are described in detail in the Departments guide titled Checklist of Items
Required for a Complete Application, which must also be completed and included with the application.
These documents must be prepared by a professional engineer registered in Arizona to a level of detail
appropriate for construction. The design engineer must be experienced in the design and construction of
dams. The engineer's professional seal and signature must appear on all submitted drawings, specifications,
engineering reports and calculations.
As prescribed in A.R.S. 45-1204 and A.A.C. R12-15-151, no application shall be given consideration
unless accompanied by a filing fee based on the estimated cost of the project (see the following section on
Fee Requirements), as well as all required supporting documentation. The Director may waive or increase
any requirements for information to accompany an application. During the appointment where the
Department receives the application, a brief review of the application will be conducted to determine if the
application contains each of the items required in the Checklist of Items Required for a Complete
Application pursuant to A.A.C. R12-15-1208, R12-15-1209, R12-15-1210 or R12-15-1211, as applicable.

Page 1

Following receipt of an application and fee, the Department will conduct an administrative review of the
application and supporting documentation defined in the Checklist of Items Required for a Complete
Application and notify the applicant in writing whether the application is administratively complete. If the
application is not administratively complete, the notification will include a list of additional information
that is required to complete the application. The Department will also notify other agencies that we have
received an application.
In accordance with A.A.C. R12-15-401 and A.A.C. R12-15-1207, the administrative completeness review
time frame is 120 days from the day the Department receives the application. The time frame is suspended
once a notification requesting additional information is mailed until the date the applicant responds with the
additional information. Additional information requested must be supplied within 60 days of the date of
the notice, or within another time frame agreed upon by the Department. Failure to complete the
application within the specified time frame may deem the application withdrawn and the Department would
close the file.
After the application has been determined to be administratively complete (i.e., contains all the required
supporting documentation completed to a level of detail appropriate for construction), the Department will
begin a substantive review. The substantive review time frame is 60 days from the day the Department
determines that the application is administratively complete. The Department will notify the applicant in
writing of any defects and conduct one or more conferences, if necessary, to delineate revisions to the
documents that will meet the Departments substantive review requirements. The time frame is suspended
once a notification requesting additional information is mailed and until the date the applicant responds
with the additional information.
Once the Department has completed its substantive review, the applicant will be notified in writing that the
application is either approved or denied. If the application is denied, the Department will provide written
justification for the denial and a written explanation of the applicants right to appeal.
After the Department has completed its substantive review and approved the application, revised sets of
construction documents (engineering drawings, specifications, construction quality assurance plan and
construction schedule) incorporating any required changes must be submitted in triplicate to the
Department to receive the Departments approval stamp. One set of the construction documents,
containing the Departments approval stamp, will be returned to the applicant and must be retained on site
during construction, one set will be retained for permanent State record and another will be retained for use
by the Department during construction. In addition to the construction documents, a revised engineering
design report may also be required. An operation and maintenance plan and an emergency action plan
must also be submitted unless they are planned to be submitted during construction pursuant to A.A.C.
R12-15-1208(B) or as otherwise approved by the Director.

Page 2

FEE REQUIREMENTS
Payment of the filing fee is required pursuant to A.R.S. 45-1204 and A.A.C. R12-15-151 for all
applications. The Department may not consider or permit construction until the filing fee has been paid.
The fee is based upon the total project costs associated with construction of the dam and appurtenant works
integral to the design and safe operation of the dam. Preliminary investigations and surveys, engineering
designs, the Departments application requirements, administration and supervision of construction and any
other engineering costs related to construction shall also be included.
Based upon these total costs and pursuant to A.A.C. R12-15-151(B)(11), the fee will be computed to the
nearest dollar according to the following schedule:

For the first $100,000 of the estimated cost, two (2.0 %) percent.

For the next $400,000, one and one-half (1.5 %) percent.

For the next $500,000, one (1.0 %) percent.

For all costs in excess of $1,000,000, one-half of one (0.5 %) percent.

Example estimated fee calculation (fee must accompany the application):

ESTIMATED COST...........................................

$6,420,000.00

2% x $100,000.........................................

2,000.00

1.5% x $400,000.......................................

6,000.00

1% x $500,000.........................................

5,000.00

0.5% x $5,420,000....................................

27,100.00
+_______

ESTIMATED FEE.............................................

40,100.00

Upon completion of the project, pursuant to A.R.S. 45-1209(C) the actual total cost shall be tabulated
using the sample Affidavit of Total Cost shown in the Departments document titled Requirements During
and Following Construction of High and Significant Hazard Dams. The application fee must be
recomputed using the Example Final Fee Calculation also shown in the Departments document titled
Requirements During and Following Construction of High and Significant Hazard Dams. If the
recomputed fee exceeds the fee paid with the application by $50.00 or more, then the owner shall pay the
difference between the fee already paid and the recomputed fee. If the recomputed fee is less than the
original fee by an amount of $50.00 or more, then the owner shall be entitled to a refund by the amount of
the difference between the fee already paid and the recomputed fee.

Page 3

LIST OF REFERENCES
Included below is a brief list of references, which have proved useful in solving basic dam design
problems. The list is not all-inclusive. Many of these references include comprehensive bibliographies,
which may provide additional assistance in locating more detailed or more recent reference materials.
When complex dam design problems are encountered, it is advisable to retain a qualified specialist
engineer.
AMERICAN SOCIETY OF CIVIL ENGINEERS, U.S. COMMITTEE ON LARGE DAMS, Design and
Construction of Dams, 1967.
ARIZONA DEPARTMENT OF WATER RESOURCES, SURFACE WATER DIVISION, SAFETY OF
DAMS SECTION, (Draft) Guidelines for the Determination of Spillway Capacity Requirements, (Revised
1996).
CEDERGREN, H.R., Seepage, Drainage, and Flow Nets, Second Edition, New York, John Wiley and
Sons, Inc., 1977.
CHANG, H.H., Energy Expenditure in Curved Open Channels, Journal of Hydraulic Engineering, Vol.
109, No. 7, 1983.
CHANG, H.H., Variation of Flow Resistance Through Curved Channels, Journal of Hydraulic
Engineering, Vol. 110, No. 12, 1984.
CHOW, V.T., Open-Channel Hydraulics, New York, McGraw-Hill Book Co., 1959.
CHOW, V.T., Handbook of Applied Hydrology, New York, McGraw-Hill Book Co., 1964.
COMMITTEE ON SAFETY OF EXISTING DAMS, Safety of Existing Dams--Evaluation and
Improvement, Prepared under auspices of Water Science and Technology Board, Commission on
Engineering and Technical Systems, National Research Council, Washington, D.C., National Academy
Press, 1983.
DAVIS, C.V. and K.E. SORENSEN, Handbook of Applied Hydraulics, New York, McGraw-Hill Book
Co., Inc., 3rd Edition, 1969.
FEDERAL EMERGENCY MANAGEMENT AGENCY, Dam Safety: An Owners Guidance Manual,
FEMA 145, 1987.
HANSEN, E.M., J.T. RIEDELL, and F.K. SCHWARTZ, Probable Maximum Precipitation
Estimates--Colorado River and Great Basin Drainages, Hydrometeorological Report 49, Silver Spring,
Maryland, National Weather Service, National Oceanic and Atmospheric Administration, U.S. Department
of Commerce, 1977.
IPPEN, A.T., Study of High Velocity Flow in Curved Channels of Rectangular Cross Sections, American
Geophysical Union Transactions, Vol. 17, pp. 516-521, 1936.IPPEN, A.T., Mechanics of Supercritical
Flow, American Society of Civil Engineers Transactions, Vol. 116, Paper No. 2434, pp 268-296, 1951.
IPPEN, A.T., Design of Channel Contractions, American Society of Civil Engineers Transactions, Vol.
116, Paper No. 2434, pp 326-346, 1951.
JAMES, C.S., Evaluation of Methods for Predicting Bend Loss In Meandering Channels, Journal of
Hydraulic Engineering, Vol. 120, No. 2, 1994.

Page 4

KING, H.W. and E.F. BRATER, Handbook of Hydraulics, 5th Edition, New York, McGraw-Hill Book
Co., Inc., 1963.
KNAPP, R.T., Design of Channel Curves for Supercritical Flow, American Society of Civil Engineers
Transactions, Vol. 116, Paper No. 2434, pp 296-325, 1951.
MAIDMENT, D.R., Handbook of Hydrology, New York, McGraw-Hill, Inc., 1993.
MOCKMORE, C.E., Flow Around Bends in Stable Channels, American Society of Civil Engineers
Transactions, Vol. 109, Paper No. 2217, pp. 593-618, 1944.
REINAUER, R. and W.H. FELLOW, Supercritical Bend Flow, Journal of Hydraulic Engineering, Vol.
123, No. 3, 1997.
ROUSE, H., Engineering Hydraulics, Proceedings of the Fourth Hydraulics Conference Iowa Institute of
Hydraulic Research, June 12-15, 1949, New York, John Wiley & Sons, Inc., 1950.
ROUSE, H., b.v. hOOTA, and E. HSU, Design of Channel Expansions, American Society of Civil
Engineers Transactions, Vol. 116, Paper No. 2434, pp 347-400, 1951.
SHERARD, J.R., R.J. WOODWARD, S.F. GIZIENSKI and W.A. CLEVENGER, Earth and Earth-Rock
Dams, New York, John Wiley and Sons, Inc., 1963.
SHUKRY, A., Flow Around Bends in an Open Flume, American Society of Civil Engineers Transactions,
Vol. 115, Paper No. 2411, 1950.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Earth Dams and
Reservoirs, TR-60, 1985.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Earth Spillways, TR-2,
1956.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Gated Outlet
Appurtenances for Earth Dams, TR-46, 1982.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Guide for Design and
Layout of Earth Emergency Spillways as Part of Emergency Spillway Systems for Earth Dams, TR-52,
1973.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Riprap Lined Plunge
Pool for Cantilever Outlet, DN-6, 1986.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Riprap for Slope
Protection Against Wave Action, TR-69, 1983.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Criteria for the
Hydraulic Design of Impact Basins Associated with Full Flow in Pipe Conduits, TR-49, 1971.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Design and Analysis of
Rock Chutes, DN-22, 1983.

Page 5

U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Hydraulics of


Broadcrested Spillways, TR-39, 1968.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Hydraulic Design of the
Box-Inlet Drop Spillway, AH-301, 1966.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Flow Net Construction
and Use, SMN-5, 1973.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Gradation Design of
Sand and Gravel Filters, 26 NEH-633-26, 1994.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Mechanics of Seepage
Analysis, SMN-7, 1979.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Soil Mechanics
Considerations for Embankment Drains, SMN-3, 1971.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Chute Spillways,
NEH-14, 1977.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Drop Spillways,
NEH-11, 1968.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Structural Design of
SAF Stilling Basins, TR-54, Revised 1981.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Structural Design of
Monolithic Straight Drop Spillways, TR-63, 1977.
U.S. DEPARTMENT OF AGRICULTURE, SOIL CONSERVATION SERVICE, Structural Design of
Underground Conduits, TR-5, 1958.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Recommended Guidelines for Safety
Inspection of Dams.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Geotechnical Investigations, ENG
1836, ENG 1836A, EM 1110-1-1804, 1984.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Hydraulic Design of Spillways, EM
1110-2-1603, 1990.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Hydraulic Design of Reservoir Outlet
Works, EM 1110-2-1602, 1980.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Hydraulic Design of Flood Control
Channels, Change 1 Incorporated, EM 1110-2-1601, 1991
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Seepage Analysis and Control for
Dams CH 1, EM 1110-2-1901, 1986.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Stability of Earth and Rock Fill Dams

Page 6

CH 1, EM 1110-2-1902, 1970.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Gravity Dam Design, EM 1110-22200, 1995.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Instrumentation of embankment Dams
and Levees, EM 1110-2-1908, 1995.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Construction Control for Earth &
Rock-Fill Dams, EM 1110-2-1911, 1995.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Arch Dam Design, EM 1110-2-2201,
1994.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Earth & Rock-Fill Dams General
Design & Construction Considerations, EM 1110-2-2300, 1994.
U.S. DEPARTMENT OF THE ARMY, CORPS OF ENGINEERS, Structural Design of Spillways and
Outlet Works, EM 1110-2-2400, 1964.
U.S. DEPARTMENT OF THE INTERIOR, BUREAU OF RECLAMATION, Discharge Coefficients for
Irregular Overfall Spillways, Engneering Monographs No. 9, 1952.
U.S. DEPARTMENT OF THE INTERIOR, BUREAU OF RECLAMATION, Design of Small Dams, A
Water Resources Technical Publication, 3rd Edition, Washington, D.C., U.S. Government Printing Office,
1987.
VRIEND, H.J. and H.J. GELDOF, Main Flow Velocity in Short River Bends, Journal of Hydraulic
Engineering, Vol. 109, No. 7, 1983.

Page 7

ARIZONA DEPARTMENT OF WATER RESOURCES


OFFICE OF DAM SAFETY AND FLOOD MITIGATION

Application No. _____________________ Filed ________________


(Applicant shall not fill in above blanks)

APPLICATION for APPROVAL of the PLANS and SPECIFICATIONS


for the CONSTRUCTION, ENLARGEMENT, REPAIR, ALTERATION
or REMOVAL of a DAM and RESERVOIR (A.R.S. 45-1203 & 1206)

JANET NAPOLITANO
Governor
HERB GUENTHER
Director

This application is for the _____________________________ of the ______________________________________________ Dam.


(Construction, Enlargement, Repair, etc.)

(Name of Dam)

LOCATION OF DAM
This dam is in ________________________ County, in the _______ 1/4, Sec. _______, Twp. _______, Rge. _______, G&SR B&M, at
North Latitude _____, _____', _____" and West Longitude _______, _____', _____", on USGS Quad _____________________, and is
located on _____________________________________, tributary to ____________________________________.
(Wash, Creek, River or Watershed)

(Wash, Creek or River)

OWNER
Name: _________________________________________________________

Telephone:__________________________

Mailing Address: ___________________________________________________________________________________________


If this application is for construction of a new dam complete all items (1 through 21) except item 12. For enlargement, repair, alteration or
removal complete items 12 through 21 and those other items where a change is being made.
DESCRIPTION OF DAM AND RESERVOIR
1.

Type of dam __________________________________. Purpose of dam ____________________________________________.


(Earth, Rock, Concrete Gravity, etc.)

2.

Dam crest elevation _____________ feet. Spillway crest elev. ______________ feet. Outlet invert elev. _________ feet.

3.

Dam height is _________ feet (Measured from the lowest elevation of the outside limit of the dam at its intersection with the natural
ground surface to the crest of the spillway A.A.C. R12-15-1202(17)).

4.

Dam crest length _______________ feet. Dam crest width _____________ feet. Dam Crest Camber (if any) ___________ feet.

5.

Dam slope: Upstream ________ : 1 (horizontal:vertical);

6.

Emergency Spillway (type, dimensions, control(s), design capacity, flow depth, etc.):

7.

Outlet Works (type, internal diameter, dimensions, control(s), capacity, trashrack, energy dissipator):

8.

Reservoir at spillway crest elevation:

Storage capacity ________________ acre-feet; Surface area _________________ acres.

Reservoir at dam crest elevation:

Storage capacity ________________ acre-feet; Surface area _________________ acres.

Downstream _________ : 1 (horizontal:vertical).

HYDROLOGIC DATA
9.

Drainage area __________ square miles. Names of upstream dams _________________________________________________

10. Downstream Hazard: _______________________________________________________________________________________


(Nearest downstream town, population, distance, other inhabitants or development, and Downstream Hazard Potential Classification per A.A.C. R12-15-1206)

Page 1 of 2

11. Inflow design flood: _______________________________. Duration ________ hours. Precipitation __________________ inches.
(100-year, 0.25 PMF, 0.5 PMF, 0.75PMF, PMF)

Peak inflow rate __________________ cfs. Water surface elevation is _______________ feet at the time of the maximum emergency
spillway discharge of __________________ cfs during routing of the Inflow Design Flood.
GENERAL INFORMATION
12. Description of Work (enlargement, repair, alteration, etc.):
13. Type of stored water: ________________________. Use of stored water: ____________________________________________.
(surface, groundwater, effluent, etc.)

Existing water rights claims/filings associated with water to be stored:


Has primary storage permit application been made? _____ Yes _____ No
14. Other federal, state or local permits (to be) applied for; Give details, include date(s):
15. Describe provisions to divert flood flows during construction; include frequency (years) and flow rate (cfs):
16. Construction is expected to begin _________________________.

Estimated completion __________________________.

(Month and Year)

(Month and Year)

17. Estimated cost of dam, reservoir and appurtenances (ARS 45-1204.A): _____________________________________________
18. Fees accompanying this application (fees based on cost; R12-15-151): ______________________________________________
19. Investigations, design, drawings and specifications prepared by (identify firm and Engineer of Record; attach resume highlighting dam
design experience):
20. Construction Quality Assurance & Quality Control to be performed by (identify firm, Site Engineer, and Engineer of Record; attach
resume(s) highlighting dam construction experience):
21. Emergency Action Plan prepared by: __________________________________________________________________________
Application submitted by (Name): _______________________________

Telephone: __________________ Date: _____________

Signature: _____________________________________ Legal Capacity If Other Than Owner: _____________________________


Mailing Address: ____________________________________________________________________________________________

APPROVAL OF APPLICATION No. _________


This is to certify that Application No. __________, including the drawings and specifications for _____________________________ Dam
and Reservoir has been examined and the same is hereby approved, subject to the following terms and limitations:
1.

Construction work shall be started within one (1) year from date of application approval.

2.

No foundations or abutments shall be covered by the material of the dam until the Department has been given an opportunity to inspect
and approve the same.
Dated this ________ day of ____________________, 20_____.

J. Darrell Jordan, Manager


Office of Dam Safety and Flood Mitigation

Page 2 of 2

ARIZONA DEPARTMENT OF WATER RESOURCES


OFFICE OF DAM SAFETY AND FLOOD MITIGATION
JANET NAPOLITANO
Governor
HERB GUENTHER
Director

CHECKLIST OF ITEMS REQUIRED FOR A COMPLETE APPLICATION

Name of Dam: __________________________

Owner of Dam: _______________________________

Application No.__________________________

Date Filed: __________________________________

[Application No. and Date Filed to be filled in by Arizona Department of Water Resources]

Instructions
This checklist is primarily applicable to significant and high hazard potential dams in accordance with Arizona Administrative Code (A.A.C.)
R12-15-1208(A)(2), 1215 and 1216. All items and/or the designated level of design detail may not be required for all applications, including
those for low and very low hazard potential dams in accordance with A.A.C. R12-15-1207(D), 1209, 1210, 1211, 1215 and 1216.
This guide, which identifies items required for a complete application, has been prepared to facilitate the applicants understanding of the
process. Any omissions or errors do not relieve the applicant from complying with applicable sections of Arizona Revised Statutes (A.R.S.)

Title 45-Waters, Chapter 6 and A.A.C. Title 12Natural Resources, Chapter 15Department of Water Resources. The Director
may require additional information, beyond the items delineated in this checklist, in accordance with A.R.S. 45-1203(E) and
1206(A).
Complete the following checklist by indicating to the left that the item has been included and to the right its location(s) within the application
documents. If a checklist item does not apply, indicate N/A and provide a supporting discussion. The checklist will be provided electronically
via e-mail upon the applicants request.

Example

Surface Water Diversion Plan - Details of the plan for control or


diversion of surface water during construction, if required.

See Page 7 and Appendix C of the design report &


Section 1036 of the specifications

I. GENERAL ITEMS
_______

Application Form Complete and submitted in duplicate.


[Ref. A.R.S. 45-1203(B), 1206(A); A.A.C. R12-15-1208(A)(1),
1209(E), 1210(A)(1), 1210(B)(1), 1211(A)(1)]

___________________________________________
___________________________________________
________________________________________

_______

Fee The fee must be based upon the total estimated project cost
associated with construction of the dam and appurtenant works.
Preliminary investigations and surveys, engineering design, supervision
of construction and any other engineering costs shall be included in the
project construction costs (refer to Instructions for Filing an
Application). [Ref. A.R.S. 45-1204; A.A.C. R12-15-151(B)(11),
1208(A)(3), 1210(A)(2), 1210(B)(2), 1211(A)(4)]

___________________________________________
___________________________________________
________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________
_______

Two Sets (minimum) of Construction Drawings


[Ref. A.R.S. 45-1203(A), 1206(A); A.A.C. R12-15-1208(A)(5),
1209(E)(1), 1210(A)(6), 1211(A)(6), 1215(1)]

__________________________________________
___________________________________________
_________________________________________

_______

Two Sets (minimum) of Construction Specifications


[Ref. A.R.S. 45-1203(A), 1206(A); A.A.C. R12-15-1208(A)(6),
1210(A)(7), 1215(2)]

___________________________________________
___________________________________________
________________________________________

_______

Two Design Reports (minimum)


[Ref. A.A.C. R12-15-1208(A)(7), 1210(A)(8), 1215(3)]

___________________________________________
___________________________________________
________________________________________

_______

Two Sets (minimum) of Construction Quality Assurance (CQA) Plan


[Ref. A.A.C. R12-15-1208(A)(8), 1210(A)(9), 1212(C), 1215(2)(e)]

___________________________________________
___________________________________________
________________________________________

_______

_______

Two Sets (minimum) of Evidence of Financial Capability Consists of


a long-term budget plan and evidence of financing, prepared using
customary accounting principles, that demonstrate that the applicant
has the financial capability to construct, operate and maintain the dam
in a safe manner. [Ref. A.A.C. R12-15-1208(A)(10)]

___________________________________________

Two Sets (minimum) of the Construction Schedule


[Ref. A.R.S. 45-1203(E), 1206(A)]

___________________________________________

___________________________________________

________________________________________

___________________________________________
________________________________________
_______

_______

Two Sets (minimum) of the Emergency Action Plan, Operation and


Maintenance Plan, and Instrumentation Plan These documents, if not
ready for submittal with the application filling, may be submitted
during construction. [Ref. A.R.S. 45-1203(E); A.A.C. R12-151208(B), 1217, 1221]
Drawings, Specifications, CQA Plan and Design Report Sealed by P.E.
The drawings, specifications, CQA Plan and design reports (each of
which are described in detail below) must be prepared by a professional
engineer registered in Arizona to a level of detail appropriate for
construction. The design engineer must be experienced in the design
and construction of dams. The engineer's seal and signature must
appear on all drawings, specifications and engineering reports, and
conform to the requirements of the Arizona State Board of Technical
Registration. A preliminary review set of drawings submitted with the
application may also be stamped preliminary and/or not for
construction in accordance with the rules of the Arizona State Board
of Technical Registration. [Ref. R4-304; A.A.C. R12-15-1215(1)(a),
1215(2)(a), 1215(3)(a)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________

II. CONSTRUCTION DRAWINGS


Drawings should be prepared on conventional drafting material such that clear, legible prints can be obtained. Drawings must clearly present
all details and dimensions required to construct the dam in accordance with the engineers design. Submittal of blue line prints, black line prints
or mylar for final approval will be satisfactory. The following drawings should be included. List additional drawings in this section if
applicable to the design. [Ref. A.A.C. R12-15-1208(A)(5), 1209(E)(1), 1209(F)(1), 1210(A)(6), 1211(A)(4), 1215(1)]

_______

_______

_______

_______

_______

_______

Dam Safety Section Approval Block In preparing the drawings, each


sheet should contain the normal title block in the lower right hand
corner as well as a space 1'' high x 4'' wide in proximity to the lower
right hand corner for the Department's approval stamp.

Topographic Map - A topographic map(s) of the dam, spillway, outlet


works and reservoir on a scale large enough to accurately locate the
dam and appurtenances, indicate cut and fill lines, and show property
lines and ownership status of the land. Elevations must be to a national
datum base, such as mean sea level, rather than an assumed elevation.
Contour intervals must be compatible with the height and size of the
dam and its appurtenances as required to provide adequate design and
construction details. Horizontal control must be in accordance with the
State coordinate system and/or per latitude and longitude. [Ref. A.A.C.
R12-15-1215(1)(b)]
Reservoir Area and Capacity Curves The area-capacity curves shall
reflect area in acres and capacity in acre-feet in relation to depth of
water and elevation in the reservoir. The spillway invert and top of
dam elevations must be shown. The reservoir volume/space functional
allocations must also be shown. Alternate scales may be included as
required for the owners use. [(Ref. A.A.C. R12-15-1215(1)(c)]
Spillway and Outlet Works Rating Curves and Tables - The spillway
rating curve must be at a scale or scales which allow determination of
discharge rate (cfs) at both low and high flows as measured by depth of
water passing over the control section. [Ref. A.A.C. R12-151215(1)(d)]
Location Map - A location map showing the dam footprint and all
exploration drill holes, test pits, trenches, adits, borrow areas and bench
marks with elevations, reference points and permanent ties. This map
shall use the same vertical and horizontal control as the topographic
map. [Ref. A.A.C. R12-15-1215(1)(e)]
Geologic Information Geologic information including geologic
map(s), profile along the centerline and other pertinent cross sections of
the dam site, spillway(s) and appurtenant structures, aggregate and
material sources, and reservoir area at scale(s) compatible with the site
and geologic complexity, showing logs of exploration drill holes, test
pits, trenches and adits. [Ref. A.A.C. R12-15-1215(1)(f)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
_______

Dam Plan Plan(s) of the dam to adequately delineate design and


construction details. [Ref. A.A.C. R12-15-1215(1)(g)]

___________________________________________
________________________________________

_______

Foundation Profile - A foundation profile along the dam centerline at a

ADWR, Dam Safety Section


Checklist for Application No. _________
true scale (vertical=horizontal) showing the existing ground and
proposed finished grade (cut and fill) elevations, including anticipated
geologic formations. Include any proposed grout and drain holes.
[Ref. A.A.C. R12-15-1215(1)(h)]
_______

_______

_______

_______

Dam Profiles and Sections - A profile and a sufficient number of crosssections of the dam to delineate design and construction details.
Camber, crest details, interior filters and drains, and other zone details
must be shown and dimensioned. The profile of the dam may be drawn
to different horizontal and vertical scales if required for detail. A
maximum section of the dam shall be included; it must be drawn to a
true scale (vertical = horizontal). The outlet conduit may be shown on
the maximum section if this is typical of the proposed construction.
[Ref. A.A.C. R12-15-1215(1)(i)]
Foundation Plan Foundation plan(s) showing excavation grades and
cut slopes with any proposed foundation preparation, grout and drain
holes, and foundation dewatering requirements. [Ref. A.A.C. R12-151215(1)(j)]

Outlet Works A plan, profile and details of the outlet works,


including the intake structure, the gate system, conduit, trashrack, filter
diaphragm, concrete encasement and the downstream outlet structure.
Include all connection and structural design details. [Ref. A.A.C. R1215-1215(1)(k)]
Spillway - A plan, profile, control section and cross sections of the
spillway. Include details of any foundation preparation, grouting or
concrete work that is planned. A complex control structure, a concrete
chute or an energy-dissipating device for a terminal structure will
require both hydraulic and structural design details. [Ref. A.A.C. R1215-1215(1)(l)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________
___________________________________________

_______

Drainage Area Hydrologic data, drainage area and flood routing


criteria. [Ref. A.A.C. R12-15-1215(1)(m)]

___________________________________________
________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________

III. CONSTRUCTION SPECIFICATIONS


The specifications must include a detailed description of the work to be performed and a statement of the requirements for the various types of
material and installation techniques that will enter into the permanent construction. Of particular importance are those sections describing
foundation preparation, placement of materials and material testing. Specifications must be complete and not cross-referenced to specifications
in other documents. As a minimum, the following specifications should be included, when applicable, to the design. List additional
specifications applicable to the design in this checklist. [Ref. A.A.C. R12-15-1208(A)(6), 1210(A)(7), 1211(A)(3), 1215(2)]

_______

_______

_______

_______

_______

_______

_______

Earthwork Specification Include all earth and rock material


descriptions, placement criteria and construction requirements for all
elements of the dam and related structures. [Ref. A.A.C. R12-151215(2)(f)(i)]

Concrete, Grout and Shotcrete Specifications Include all concrete,


grout and shotcrete material descriptions, placement and consolidation
criteria, temperature controls and construction requirements for all
elements of the dam and related structures. [Ref. A.A.C. R12-151215(2)(f)(ii)]
Foundation Specification Include acceptable material criteria and
testing, cleaning and treatment. If foundation or curtain grouting is
required, include the type of grout, grouting method, special equipment,
recording during grouting and foundation monitoring to avoid
disturbance from grouting. [Ref. A.A.C. R12-15-1215(2)(f)(iii)]
Materials Testing Include in each specification all materials testing to
be performed by the contractor for pre-qualification of materials for use
and acceptance of materials as constructed in place in accordance with
specifications. Include all required special performance testing such as
water pressure tests in conduits. [Ref. A.A.C. R12-15-1215(2)(f)(iv)]
Control of Stream During Construction - A plan for control or diversion
of surface water during construction. The frequency of storm runoff to
be controlled during construction may be determined by the design
engineer commensurate with the risk of economic loss during
construction. [Ref. A.A.C. R12-15-1215(2)(f)(v)]
Blasting Criteria for blast monitoring and acceptable blast vibration
levels (particle velocities), monitoring equipment and monitoring
locations must be included for the dam and other vibration sensitive
structures and equipment. [Ref. A.A.C. R12-15-1215(2)(f)(vi)]

Instrumentation Include material descriptions, placement criteria and


construction requirements. Instrumentation should be required to be
installed by experienced specialty subcontractors. [Ref. A.A.C. R1215-1215(2)(f)(vii)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

Additional Specification:
_______

_________________________________________________________

___________________________________________

_________________________________________________________

_________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________

IV.

DESIGN REPORT

A design report is required for all dams and appurtenant structures. The report should include a discussion and definition of the engineering
consideration and conclusions incorporated in the design. The report must also include copies of pertinent calculations as appendices. As a
minimum, the following sections should be included in the design report when applicable to the design. List additional sections applicable to
the design report in this checklist. [Ref. A.A.C. R12-15-1208(A)(7), 1210(A)(8), 1215(3)]
___________________________________________
_______

______

_______

_______

_______

Classification The classification under AAC R12-15-1206 of the


proposed dam, or for the proposed enlargement of an existing dam and
reservoir. [Ref. A.A.C. R12-15-1215(3)(b)]
Hydrology Hydrologic considerations, including calculations and a
summary table of data used in determining the required emergency
spillway capacity and freeboard, and design of any diversion or
detention structures. Input and output listings (both hard copy and on
diskette) of any computer programs used must be included. Include
calculations for wave runup and wave setup in the reservoir as well as
estimated sedimentation rates.
[Ref. A.A.C. R12-15-1215(3)(c)]
Hydraulics - Hydraulic characteristics, engineering data and
calculations used in determining the capacities of the outlet works and
emergency spillway. Input and output listings (both hard copy and on
diskette) of any computer programs used must be included. Technical
references must support any complex hydraulic designs.
[Ref. A.A.C. R12-15-1215(3)(d)]
Geotechnical Investigation Geotechnical investigation and testing of
the dam site and reservoir basin. Results and analysis of subsurface
investigations including logs of test borings and geologic cross
sections. [Ref. A.A.C. R12-15-1215(3)(e)]

Blasting Plan Guidelines and criteria for blasting to be used by the


contractor in preparing the blasting plan. [Ref. A.A.C. R12-151215(3)(f)]

___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

_______

_______

Surface Water Diversion Plan - Details of the plan for control or


diversion of surface water during construction. Include a discussion for
the basis for selection of the frequency of storm runoff to be controlled
during construction. [Ref. A.A.C. R12-15-1215(3)(g)]

Dewatering Plan Details of the dewatering plan for subsurface water


during construction. [Ref. A.A.C. R12-15-1215(3)(h)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________
_______

_______

Materials Information Testing results of earth and rock materials,


including the location of test pits and the logs of these pits. Strength
test results must be plotted and the strengths selected for use in stability
analyses shown. [Ref. A.A.C. R12-15-1215(3)(i)]
Grout Design Discussion and design of the foundation grouting, grout
curtain and grout cap based on foundation stability and seepage
considerations. [Ref. A.A.C. R12-15-1215(3)(j)]

___________________________________________
___________________________________________
________________________________________

__________________________________________
___________________________________________
_________________________________________

_______

_______

_______

_______

Reinforced Concrete Design Calculations and basic assumptions on


loads and limiting stresses for reinforced concrete design. Input and
output listings (both hard copy and on diskette) of any computer
programs used should be included. [Ref. A.A.C. R12-15-1215(3)(k)]

Stability Analysis A discussion and stability analysis of the dam


including appropriate seismic loading, safety factors and embankment
zone strength characteristics. Analyses must include both short-term
and long-term loading on upstream and downstream slopes. Input and
output listings (both hard copy and on diskette) of any computer
programs used should be included. Plots of critical failure surfaces as
well as the zones and phreatic surface used in the analyses must be
shown on the critical cross section of the embankment. [Ref. A.A.C.
R12-15-1215(3)(l)]
Seismicity The seismicity of the project area and activity of faults in
the vicinity must be discussed. Both deterministic and statistical
methods must be utilized and the appropriate seismic coefficient
identified for use in analyses. [Ref. A.A.C. R12-15-1215(3)(m)]

Cutoff Trench Design - Discussion and design of the cutoff trench


based on seepage and/or other considerations. [Ref. A.A.C. R12-151215(3)(n)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

_______

_______

_______

Seepage Permeability characteristics of foundation and dam


embankment materials, including calculations for seepage quantities
through the dam, the foundation and anticipated in the internal drain
system. Input and output listings (both hard copy and on diskette) of
any computer programs used should be included. Copies of flow nets,
if utilized, must be included. [Ref. A.A.C. R12-15-1215(3)(o)]
Internal Drainage Discussion and design of internal drainage based
on seepage quantity calculations. Include instrumentation necessary to
monitor the drainage system and filter design calculations for
protection against piping of foundation and embankment materials.
[Ref. A.A.C. R12-15-1215(3)(p)]
Erosion Protection Erosion protection against waves and rainfall
runoff must be provided for both the upstream and downstream slopes,
as appropriate. [Ref. A.A.C. R12-15-1215(3)(q)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________
_______

_______

Dam Foundation Treatment and Abutment Contact Design, and


Spillway Foundation Design - Discussion and design of foundation
treatment to adequately compensate for geological weakness in the dam
foundation and abutment areas, and in the spillway foundation area.
[Ref. A.A.C. R12-15-1215(3)(r)]
Post-construction Vertical and Horizontal Movement Systems
[Ref. A.A.C. R12-15-1215(3)(s)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

_______

Foundation Conditions Discussion of foundation conditions including


the potential for subsidence, fissures, dispersive soils, collapsible soils
and sinkholes. [Ref. A.A.C. R12-15-1215(3)(t)]

___________________________________________
___________________________________________
________________________________________

_______

__________________________________________

Additional Report Section:

___________________________________________
_________________________________________
_______

__________________________________________

Additional Report Section:

___________________________________________
_________________________________________

V. CONSTRUCTION QUALITY ASSURANCE PLAN


A Construction Quality Assurance (CQA) Plan is required for all dams and appurtenant structures. A statement of the designer's requirement
with regard to construction testing frequencies, foundation preparation guidelines, etc., must be included in the CQA Plan to facilitate the
construction in conformance with the plans and specifications. As a minimum, the CQA Plan should include the following sections:
[Ref. A.A.C. R12-15-1208(A)(8), 1209(E)(3), 1210(A)(9), 1212, 1213]

_______

_______

_______

_______

Delineation of Responsibilities and Authority The responsibilities and


lines of authority of the organizations involved in the construction of
the dam must be described. The role of pre-construction, progress and
problem or work deficiency meetings should be discussed. [Ref.
A.A.C. R12-15-1212(A)]
Third Party Testing The CQA Plan should detail the responsibilities
of third party (independent of the contractor) field and laboratory
testing by a registered engineer for all elements of the dam and related
structures. [Ref. A.A.C. R12-15-1212(B)]

Statement of Qualifications The CQA Plan should identify the


training and experience of the CQA personnel, field supervisors and
engineer of record. This information should document their ability to
fulfill their assigned roles. [Ref. A.A.C. R12-15-1212(C)]

Inspection and Testing Activities - The CQA Plan should specify the
inspection, testing and sampling activities to be implemented for all

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________
elements of dam construction. The CQA Plan should identify key
inspection items that require the Departments approval. [Ref. A.A.C.
R12-15-1212(A), 1212(D), 1212(G)]
_______

_______

Acceptance and Rejection Criteria - The acceptance or rejection criteria


for inspection and testing activities should be clearly stated. The CQA
Plan should describe procedures for documenting corrective measures
and design changes that require prior approval by the Department.
[Ref. A.A.C. R12-15-1212(E), 1212(F)]
Documentation Requirements - The CQA Plan should include
requirements for the submittals of as-built drawings and a completion
report, which are required prior to the issuance of a license. [Ref.
A.A.C. R12-15-1213]

___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

VI. CONSTRUCTION SCHEDULE

_______

Construction Schedule - A statement of the anticipated sequence and


duration of construction operations must be filed in duplicate with the
application. [Ref. A.R.S. 45-1203(E)]

___________________________________________
___________________________________________
________________________________________

VII. OPERATION AND MAINTENANCE PLAN


An Operation and Maintenance (O&M) Plan must be prepared for all dams and their appurtenant structures. The O&M Plan must specify the
frequency of inspections and maintenance of the dam and appurtenant structures. The frequency for exercising any mechanical or electrical
equipment or systems must also be specified. Equipment must be exercised and inspected at least once each year. The frequency of
inspections for submerged facilities such as intake structures or outlet pipes must also be specified. More frequent inspections and operation
may be required depending on the size of the dam or reservoir, hazard classification or condition of the dam. The O&M Plan must specifically
address the following: [Ref. A.R.S. 45-1212; A.A.C. R12-15-1205(D), 1208(B)]

_______

Dam Structure (Earth & Rockfill) Settlement, slides, depressions,


misalignment, cracking (transverse and longitudinal), burrowing
animals, erosion, seepage and adequacy of slope protection.

___________________________________________
___________________________________________
________________________________________

_______

Dam Structure (Concrete & Masonry) Cracking, spalling, scaling,


joint displacement or offsets, foundation and abutment contacts
displacement or offset, seepage and adverse vegetation.

___________________________________________
___________________________________________
________________________________________

_______

_______

Metal Surfaces Corrosion, deficient protective coatings, misaligned


or split seams. Includes gates, stairs and ladders, handrails, pipe,
drainage culverts, instrumentation pipes or hardware, drainage culverts,
bridges, etc.

Spillways Spillway control structures (gates, concrete sills, flash


boards, etc.), approach channels, main channels, stilling basins and
energy dissipaters.

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________
________________________________________
_______

Outlet Works Includes buildings or structures that enclose the outlet


works and submerged facilities such as intake structures.

___________________________________________
___________________________________________
________________________________________

_______

Downstream Channel Areas Sloughing, eroding or backcutting,


obstructions, adequacy of erosion protection and tailwater, and flow
conditions.

___________________________________________
___________________________________________
________________________________________

_______

Reservoir Rim Area Areas susceptible to slides or major rock falls


that could result in overtopping of the dam or significant releases.

___________________________________________
_________________________________________

_______

Site Security Fencing, surveillance cameras, security patrols, etc.

___________________________________________
___________________________________________
________________________________________

_______

_______

_______

_______

Instrumentation Description of the instrumentation system(s) that is


part of the performance monitoring system for the dam and all
appurtenant structures. The O&M Plan must clearly separate
instruments and reading frequencies for the following conditions: (a)
during construction, (b) immediately following completion of
construction, (c) until initial reservoir fill is completed, and (d) long
term monitoring. Vertical and horizontal movement monitoring of the
dam must be performed, as a minimum. The design, construction and
geological conditions of the dam may require other instrumentation,
such as monitoring wells, piezometers, inclinometers, pressure cells,
extensometers, crack monitors, seepage or drainage monitors, and
strong motion (seismograph).
Log Book - A logbook must be maintained for the life of the dam. The
logbook must be part of the dams permanent records and must be used
to document each inspection, maintenance work performed and record
of equipment operation (exercising). Each entry in the logbook must
include the date, a description of the inspection and operation or
maintenance work done, and shall be signed by the responsible person.
Dates when instrumentation readings are taken and person taking
readings must be recorded in the logbook.
Annual Report The owner or operator providing an annual report to
ADWR, Office of Water Engineering, must list all inspections made,
maintenance work performed, instrumentation data collected and dates
of same. The report must include an interpretation of the
instrumentation data by a person qualified to evaluate the data of the
dams performance. The report must include the significance of the
instrumentation data and a discussion of planned maintenance or
repairs at the dam.

Photographic Record - The owner or operator maintaining complete


photographic record of sufficient detail that would typically show the

10

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________
extent of cracks in concrete, erosion of embankments or condition of
metal parts. Photos must be taken on a five-year interval (minimum)
and must be maintained for the life of the dam. A complete set of the
photos (minimum 3 1/2 x 5 inches in size) must be provided to ADWR
when taken and included as part of the annual report for that year.

___________________________________________
________________________________________

VIII. EMERGENCY ACTION PLAN


Dams classified as having high or significant downstream hazard potential must file an Emergency Action Plan (EAP) including a dam breach
inundation map. The EAP must be filed in duplicate and, at a minimum, include the following elements: [Ref. A.A.C. R12-15-1221]

_______

_______

Notification Flow Chart The EAP should include a chart showing the
hierarchy for notification in an emergency situation, including priority
of notifications. Notifications should include local emergency response
agencies, affected downstream populations, county emergency
management agencies and affected flood control districts. [(Ref.
A.A.C. R12-15-1221(A)(1)]
Statement of Purpose The EAP must describe the project and scope
of the EAP. [Ref. A.A.C. R12-15-1221(A)(2)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

_______

_______

_______

Emergency Detection, Evaluation and Action - The EAP must delineate


the type of potential unsafe conditions, evaluation procedures and
triggering events that require the initiation of partial or full emergency
notification procedures based on the urgency of the situation. [Ref.
A.A.C. R12-15-1221(A)(3)]
Responsibilities The EAP should delineate areas of responsibility,
particularly the owners, to ensure effective and timely action. The
individuals responsible for notifications and declaring an emergency
must be clearly identified. [Ref. A.A.C. R12-15-1221(A)(4)]

Notification Procedures The EAP should be specific for each


emergency situation that is anticipated. [Ref. A.A.C. R12-151221(A)(5)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

_______

_______

Preparedness - The EAP should identify emergency supplies and


resources, equipment access to the site and alternative means of
communication. The EAP should also identify specific preparedness
activities required such as annual full or partial mock exercises and
updates of the EAP. [Ref. A.A.C. R12-15-1221(A)(6)]
Inundation Map An inundation map should show the area that would
be subject to flooding due to spillway flows and dam failure. [Ref.
A.A.C. R12-15-1221(A)(7)]

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

11

ADWR, Dam Safety Section


Checklist for Application No. _________

IX. OTHER PERMITS


It is not unusual that additional permits from this and/or other government agencies may also be required before construction may commence.
Several other permits are described below. It is the responsibility of the owner to obtain all permits required for construction.

_______

_______

State Trust Land - If the dam is to be constructed on, any materials for
the dam to be borrowed from or the reservoir will inundate State Trust
Land; contact the State Land Department at (602) 542-4621 for details
of their requirements.

Federal Land - If the dam is to be constructed on, any materials for the
dam are to be borrowed from or the reservoir will inundate federal land,
contact the appropriate federal agency for details of their requirements.

__________________________________________
___________________________________________
_________________________________________

___________________________________________
___________________________________________
________________________________________

_______

Water Rights - If surface waters are to be impounded, contact the


Arizona Department of Water Resources, Office of Water Engineering,
at (602) 417-2445 for details.

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
_______

Corps 404 Permit Any significant work in or affecting a stream may


require a 404 Permit. Contact the U.S. Army Corps of Engineers for
details.

_______

Corps 401 Certification - A 401 Certification from the Arizona


Department of Environmental Quality is required before a 404 Permit
can be obtained to ensure that federal activities do not violate state
water quality standards.

_______

_______

Geotechnical Exploration Holes, Monitoring and Piezometers Wells Certain types of drilled holes require permits and/or must be abandoned
in accordance with prescribed procedures. For details, contact the
Arizona Department of Water Resources, Groundwater Management
Support Section, (602) 417-2470.

Dewatering Wells If dewatering of the dam foundation is required,


contact the Arizona Department of Water Resources, Groundwater
Management Support Section, (602) 417-2470.

________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

___________________________________________
___________________________________________
________________________________________

_______

_______

Floodplain Management - Any activity in a floodplain requires a


floodplain use permit from the local flood control district. Any
structure, which will divert, retard or obstruct the flow of water, will
require an in-depth review by a flood control district before issuance of
the permit. Removal of a dam will also require an in-depth review.
Contact the local flood control district.
Archaeological Clearance - Any activity, which involves ground

12

___________________________________________
___________________________________________
________________________________________

ADWR, Dam Safety Section


Checklist for Application No. _________
disturbance, requires prior clearance regarding cultural resources
sensitivity and treatment from the State Historic Preservation Officer.
Contact the Arizona State Parks, (602) 542-4174.

___________________________________________
___________________________________________
________________________________________

13

ARIZONA DEPARTMENT OF WATER RESOURCES


OFFICE OF DAM SAFETY AND FLOOD MITIGATION
Dam Safety Section

REQUIREMENTS
DURING AND FOLLOWING CONSTRUCTION
OF
HIGH AND SIGNIFICANT HAZARD DAMS

INTRODUCTION
This guide, regarding the requirements during and following construction, has been prepared to facilitate the applicants
understanding and compliance with Arizona law. Any omissions or errors do not relieve the applicant from complying with
applicable sections of Arizona Revised Statutes (A.R.S.) Title 45-Waters, Chapter 6 and Arizona Administrative Code
(A.A.C.) Title 12Natural Resources, Chapter 15Department of Water Resources (Department).
A.R.S. 45-1202 places all dams, unless specifically exempt, under supervision by the Arizona Department of Water
Resources (Department). In accordance with A.R.S 45-1203, 1206 and 1207, and A.A.C. R12-15-1207(A), written
approval of an owners application is required prior to construction of a new dam or enlargement, repair, alteration or
removal of an existing dam. Application requirements differ according to the hazard potential of the dam. A.A.C. Rl2-15l2l2 in conjunction with A.A.C. R12-15-1208 specifies requirements that must be followed during construction of a new high
or significant hazard dam, or the reconstruction, repair, enlargement or alteration of an existing high or significant hazard
dam. A.A.C. R12-15-l2l3 specifies the requirements following completion of construction of a new high or significant
hazard dam, or the reconstruction, repair, enlargement, alteration or removal of an existing high or significant hazard dam.
A.A.C. R12-l5-1212 in conjunction with A.A.C. R12-15-1210 through 1211 specify the construction and post-construction
requirements for low or very low hazard dams. This guide only addresses the requirements for high and significant hazard
dams.

REQUIREMENTS DURING DAM CONSTRUCTION

In accordance with A.R.S. 45-1207 and A.A.C. Rl2-15-l207(F), an approval to construct a new dam or repair, enlarge,
alter, breach or remove an existing dam is valid for one year. If construction does not begin within one year, the approval is
void. Upon written request and good cause shown by the owner, the Department may extend the time for commencing
construction. The Department must review the application again in light of changes that may have occurred since the
approval was originally given and grant another approval. An applicant may not start construction before the Director
reviews the application for changes and grants another approval.

Pre-Construction Conference
In accordance with A.R.S. 45-1207, the applicant must provide the Director notice of the construction start by registered
mail at least 10 days before the start. Before commencement of construction activities, the owner must invite to a preconstruction conference all involved regulatory agencies, the prime contractor and all subcontractors in accordance with
A.A.C. R12-15-12l2. At this meeting, the Department will identify, to the extent possible, the key construction stages at
which an inspection will be made. A t least 48 hours before each key construction stage identified for inspection, the owner,
or the owners engineer, must provide notice to the Department. From the Departments perspective, the conference
provides a final forum for communication of regulatory requirements so that the contractor can plan construction activities
accordingly.

Construction Control
The owner and the owners engineer must supervise, or direct, the supervision of construction of a new dam or
reconstruction, repair, enlargement, alteration, breach or removal of an existing dam complying with the construction quality
assurance plan in accordance with A.A.C. R12-15-1212. Failure to perform the work in accordance with the application
approved by the Department renders the approval revocable in accordance with A.A.C. Rl2-15-l212. The owners engineer
must exercise professional judgment independent of the contractor, and be a registered professional engineer licensed in
Arizona with proficiency in engineering and knowledge of dam technology.

The Department will periodically inspect construction to confirm that it is proceeding according to the approved design and
to confirm that the owners engineer is exercising proper construction control. The owners engineer must submit summary
reports of construction activities and test results according to a schedule approved by the Department. The owner, or the
owners engineer, must remedy any unsatisfactory condition with the contractor.
The Department must have access to the dam site in accordance with A.A.C. Rl2-15-1214, for purposes of inspecting all
phases of construction including, but not limited to, the foundation, embankment, concrete placement, inspection and test
records, and mechanical installations.
The owner must immediately report to the Department any condition encountered during construction that requires a
deviation from the approved plans and specifications. The owner must promptly submit a written request for approval of any
necessary change and sufficient information to justify the proposed change. The owner may not commence construction
without the written approval of the Director unless the change is a minor change. A minor change is a change that complies
with rules and provides equal or better safety performance.

REQUIREMENTS FOLLOWING COMPLETION OF DAM CONSTRUCTION


In accordance with A.R.S. 45-1209 and A.A.C. R12-l5-12l2, upon completion of construction, the owner must notify the
Department in writing to that effect. The Department will make a final inspection as soon as practicable. The owner must
correct any deficiencies noted during the final inspection as soon as possible. The Department may conduct a follow-up
inspection and confirm that the deficiencies have been corrected. Use of the reservoir requires written permission from the
Department.
Within 90 days of completion of construction of high and significant hazard dams, A.R.S. 45-1209 and A.A.C. R12-151213 require that the owner file the following:

An affidavit showing the actual cost of construction. Attach a detailed accounting of the costs of construction,
including all engineering costs (see paragraph below on Fee Requirements). A sample affidavit is included in this
section.

An additional fee or refund request, as appropriate, based on the actual cost of construction (see the section below
on Fee Requirements).

One (1) set of full sized as-constructed drawings, in the form of paper prints, sealed by the engineer who supervised
and approved the construction. As-constructed plans must show confirmation survey points and elevations, for the
dam and appurtenant structures, made during and after completion of construction. If changes were made to the
approved drawings during construction, supplemental drawings showing the dam and appurtenances as actually
constructed must be included.

Construction records, including grouting, materials testing, and locations and baseline readings for permanent
benchmarks and other instrumentation, initial surveys and readings.

Photographs of construction from exposure of the foundation to completion of construction.

A brief completion report summarizing the salient features of the project, including a description of the causes for
any changes or deviations from the approved drawings and specifications which were made during the construction
phase.

A schedule for filling the reservoir specifying fill rates, water level elevations to be held for observation and a
schedule for inspecting and monitoring the dam. The owner must monitor the dam monthly during the first filling.

An operating manual for the dam and its appurtenant structures. The operating manual must include a process for
safety inspections prescribed in A.A.C. Rl2-15-12l9. The operating manual must also include schedules for
surveillance activities and baseline information for any installed instrumentation as follows:

a.
b.
c.
d.
e.

The frequency of monitoring.


The data recording format.
A graphical presentation of data.
The person who will perform the work.
Evaluation of collected data.

In accordance with A.R.S. 45-1209 and A.A.C. R12-15-l214, upon review and approval of these items and finding that
construction has been conducted in accordance with the approved plans and specifications and finding that the dam is safe, a
License of Approval will be issued by the Director unless a license currently in effect requires no changes. Use of the
reservoir requires written permission from the Director.
Fee Requirements
Upon completion of the project, the total actual costs related to construction shall be tabulated and an affidavit of Total Cost
shall be filed with the Department, in accordance with A.R.S. 45-1209(C), A.A.C. R12-15-l213 and A.A.C. R12-15151(B)(l I). The filing fee shall be recomputed for the total cost in accordance with the Example Final Fee Calculation as
shown below and payment shall be made for the difference between the fee already paid and the recomputed fee. In
accordance with A.R.S. 45-1209(C), no License of Final Approval shall be issued until a completed affidavit and the final
filing fee is received and approved by the Department.
The fee is based upon the total project costs associated with construction of the dam and appurtenant works integral to the
design and safe operation of the dam. Preliminary investigations and surveys, engineering designs, the Departments
application requirements, administration and supervision of construction, and any other engineering costs related to
construction shall also be included.
If the recomputed fee for actual total costs exceeds the estimated fee paid with the application filing by $50.00 or more, then
the owner must pay the difference between the fee already paid and the recomputed fee. If the recomputed fee is less than
the original fee by an amount of $50.00 or more, then the owner is entitled to a refund by the amount of the difference
between the fee already paid and the recomputed fee.
A refund may be obtained by written request including supporting documentation. The Department will review the final cost
statement and initiate the refund process if a refund is indicated.
Example Final Fee Calculation
Based upon the actual total costs the fee will be computed according to the following schedule:
For the first $100,000 of the cost, two (2 %) percent.
For the next $400,000, one and one-half (1.5 %) percent.
For the next $500,000, one (1 %) percent.
For all costs in excess of $l,000,000, one-half of one (0.5 %) percent.
ESTIMATED FEE CALCULATION FOR SUBMITTAL WITH THE APPLICATION:
ESTIMATED COST
2% x $100,000
1.5% x $400,000
1% x $5000,000
0.5% x $5,420,000

$6,420,000.00
2,000.00
6,000.00
5,000.00
27,100.00

ESTIMATED FEE

$40,100.00

RECOMPUTED FEE CALCULATION FOR A CTUAL PROJECT COST INA CCORDANCE WITH THE
AFFIDAVIT OF TOTAL COST:
ACTUAL COST
2% x $100,000
1.5% x $400,000
1% x $500,000
0.5% x $5,482,500

$6,482,500.00
2,000.00
6,000.00
5,000.00
27,412.50

RECOMPUTED ACTUAL FEE

$40,412.00

ORIGINAL ESTIMATED FEE

-40,100.00

ADDITIONAL FEE

$312.50

In the example, the owner would be required to pay an additional fee of $312.50. If the actual cost were $6,320,000.00, then
the recomputed fee would be $39,600.00. The difference of $500.00 would be an over payment and the owner would be
entitled to a refund of $500.00.

Place On Applicants Letterhead


Arizona Department of Water Resources
Office of Water Engineering
Dam Safety Section
500 North Third Street
Phoenix, Arizona 85004-3903
Director:
I, __________________________ am the ________________________________
(Name)
(Owner or Authorized Agent of Owner)
of the ______________________________________________________________
(Name of Dam and Reservoir)
The final actual total cost of the construction (or enlargement, repair, alteration or removal, as appropriate) of the dam and
appurtenant works to completion thereof is as follows:
*

1.

ENGINEERING

2.

1.1

Preliminary investigations, surveys and design

$_______________

1.2

Final investigations, surveys, design and ADWR application


requirements

$_______________

1.3

Contract administration, construction supervision

$_______________

1.4

Construction quality control testing

$_______________

TOTAL ENGINEERING

$_______________

CONSTRUCTION CONTRACT PAYMENTS


**

2.1

Final payment for contract bid quantity list

$________________

**

2.2

Final Payment for change orders to bid quantity list

$________________

TOTAL CONSTRUCTION CONTRACTS

$________________

TOTAL CONSTRUCTION COST (Engineering + Construction Contracts)

$________________

I hereby declare under penalty of perjury that, to the best of my knowledge and belief, the above statement is true and
correct.
Executed on _________________________ at ____________________________, Arizona.

___________________________________
(Owners Signature)

___________________________________
(Notary)
(Date)

The cost breakdown must include all applicable costs as indicated. For projects with two or more features, an allocation
of total project cost items to each appropriate feature may be made. Allocations of project cost items may be combined
when properly identified to fit the individual circumstances.

**

Attach forms showing contract bid quantities with prices and final pay quantities, including Change Order items.

APPENDIX B
EXAMPLE PERMIT REQUIREMENTS

_____________________________

CASE 2: NEW JERSEY

_____________________________

DAM SAFETY STANDARDS


N.J.A.C. 7:20
EFFECTIVE DATE: SEPTEMBER 8, 2005,
AMENDMENT OCTOBER 3, 2005,
EXPIRATION DATE: SEPTEMBER 8, 2010

SUBCHAPTER 1.

APPLICATION PROCEDURE; DESIGN CRITERIA


FOR DAM CONSTRUCTION; DAM INSPECTION
PROCEDURE

N.J.A.C. 7:20-1.1

Scope and applicability

The rules in this subchapter were adopted pursuant to the authority of N.J.S.A. 58:4-1 et
seq., as amended by the Safe Dam Act of 1981, and N.J.S.A. 13:1D-l et seq.
1.

These rules set forth procedures for application to construct, repair or modify a
dam, as defined in N.J.A.C. 7:20-1.2 and set standards for design and maintenance
of dams. These rules also establish a dam inspection procedure.

2.

Any dam which raises the waters of a stream five feet or less above its usual, mean,
low water height falls under the jurisdiction of the Flood Hazard Area Control Act,
N.J.S.A. 58:16A-50 et seq.

3.

The requirements in this subchapter shall not affect or relate to a dam or reservoir
in the pinelands area, as designated by subsection a. of section 10 of P.L. 1979,
c.111 (C. 13:18A-ll), which will raise the waters of any river or stream less than
eight feet above the surface of the ground where the drainage area above the same
is less than one square mile in extent and where the water surface created by the
dam or reservoir is less than 100 acres in extent except that the commissioner may
investigate and take appropriate action regarding any dam or reservoir about which
he has a security or safety concern. With respect to dams and reservoirs located on
lands utilized for agricultural or horticultural purposes within the pinelands area,
the commissioner's actions shall be undertaken after consultation with the Secretary
of Agriculture. See N.J.S.A. 58:4-1, P.L. 1985, c.33, Sl and 2.

N.J.A.C. 7:20-1.2

Definitions

The following words and terms, as used in this chapter, shall have the following meanings,
unless the context clearly indicates otherwise.
"Applicant" means any person making application for a dam permit.
"Auxiliary spillway" means the second used spillway during flood flows which is not the
emergency spillway.

"Dam" means any artificial dike, levee or other barrier, together with appurtenant works,
which is constructed for the purpose of impounding water on a permanent or temporary
basis, that raises the water level five feet or more above the usual, mean, low water height
when measured from the downstream toe-of-dam to the emergency spillway crest or, in the
absence of an emergency spillway, the top-of dam.
"Department" means the New Jersey Department of Environmental Protection.
"Design freeboard" means the minimum freeboard which would exist during passage of the
design flood.
"Division" means the Division of Engineering and Construction in the Department of
Environmental Protection.
"Emergency spillway" means the spillway capable of passing the spillway design storm
with the principal and/or auxiliary spillway blocked.
"Environmental impact statement" means a report which describes the real and potential
impacts which will or may result from the construction and operation of a proposed dam
project, the adverse environmental impacts which cannot be avoided, the steps to be taken
to minimize adverse impacts and the alternatives to the project with reasons for the
acceptability or unacceptability; and
1.

The report shall address real or potential impacts upon ecology, natural
resources, historical and archeological resource, recreational resources,
aesthetic resources, endangered and non-game species, fisheries and any
other identifiable impacts;

2.

The report shall include a listing of qualifications of those preparing the


report and a reference list of pertinent published information relating to the
project, the project site and the surrounding region.

"Formal inspection" means the inspection by a New Jersey licensed professional engineer
to reevaluate the safety and integrity of the dam and appurtenant structures to determine if
the structure meets current design criteria, including a field inspection and a review of the
records on project design, construction and performance.
"Freeboard" means the vertical dimension between the crest of the embankment of a dam
(without camber) and the reservoir water surface at the spillway design flood stage.
"Height-of-dam" means the vertical dimension from the lowest point in the stream bed or
ground surface at the downstream toe of the dam to the elevation of the top of dam
(without camber).
"Independent Review Board" means one or more independent professional engineers who
are qualified in the design, construction and rehabilitation of dams to perform a review of

the project design and construction.


"Informal inspection" means the visual inspection of the dam by the dam owner or
operator to detect apparent signs of deterioration or other deficiencies of the dam structure
or function.
"Levee" or "dike" means any artificial barrier together with appurtenant works that will
divert or restrain the flow of a stream or river.
"One-hundred-year storm" means the storm which is estimated to have a one percent
chance, or one chance in 100, of being equaled or exceeded in one year.
"Outlet" means an opening through which water can be freely discharged from a reservoir
for a particular purpose.
"Owner and/or operator" means any person who owns, controls, operates, maintains,
manages or proposes to construct a dam.
"Permit" or "dam permit" means all approvals required under N.J.S.A. 58:4-1 et seq. for
the construction and operation of a dam.
"Person" means any individual, proprietorship, partnership, association, corporation,
municipality, county or public agency.
"Principal spillway" means the primary or first used spillway during normal inflow and
flood flows.
"Probable maximum precipitation" or "(PMP)" means the theoretically greatest depth of
precipitation for a given duration that is physically possible, over a given size storm area,
at a particular geographic location, at a certain time of year.
"Regular inspection" means the visual inspection of a dam by a New Jersey licensed
professional engineer to detect any signs of deterioration in material, developing
weaknesses or unsafe hydraulic or structural behavior.
"Reservoir" means any impoundment or any potential impoundment that will be created by
a dam, dike or levee.
"Spillway" means a structure other than low flow outlets, over or through which flood
flows are discharged.
"Spillway design storm" means the storm upon which the hydraulic capacity of the
spillway structure is designed.
"Toe-of-dam" means the junction of the downstream face of a dam with the ground surface
or the invert of the outlet pipe whichever is the lowest point.

N.J.A.C. 7:20-1.3
(a)

Permit-by-rule

All dams must be designed, constructed, operated maintained or removed in


compliance with the rules in this subchapter except as set forth below:
1.

2.

Owners and operators of Class IV dams (see N.J.A.C. 7:20-1.8, Dam


classification) are not required to file documents with nor obtain a permit
from the Department, but must meet the following requirements, in addition
to those set forth elsewhere in this subchapter:
i.

Design must be based upon a spillway design storm that results in


rainfall of 50 percent greater than a 24- hour, 100-year, Type III
storm (Later technology adopted by the United States Department of
Agriculture, Natural Resources Conservation Service may be
substituted for the use of the Type III storm.); and

ii.

All necessary local approvals must be obtained;

iii.

A New Jersey licensed professional engineer must design the Class


IV Dam to meet all technical requirements of this subchapter; and

iv.

If the Class IV dam is designed or constructed for stormwater


management purposes, the dam shall comply with the Stormwater
Management Rules at N.J.A.C. 7:8.

Owners and operators of Class III agricultural impoundments, meaning any


impoundment used for fish and wildlife, fire control or livestock or crop
production and maintenance, where the drainage area is less than one-half
square mile in extent, must meet only the following requirements.
i.

All necessary local approvals must be obtained;

ii.

Design and construction must be supervised by the United States


Department of Agriculture, Natural Resources Conservation
Service.

(b)

The Department may, in its discretion, require the owner or operator of any dam
subject to (a) above to obtain a permit and/or to submit any information relating to
dam design, construction, operation or maintenance.

(c)

The Department may, in its discretion, require the owner or operator of any dam to
make modification of the design, construction or operation of the dam in order to
comply with the intent of this chapter and the Safe Dam Act, N.J.S.A. 58:4-1 et

seq.
N.J.A.C. 7:20-1.4

General requirements and prohibitions

(a)

No person may construct or operate a new dam or modify or repair an existing dam
without first having obtained a permit from the Department, unless subject to the
permit-by-rule provision in N.J.A.C. 7:20-1.3. Where emergency circumstances
justify, repairs of a dam may be undertaken prior to obtaining a permit, in
accordance with (i) below.

(b)

No dam may be approved by the Department where, in the opinion of the


Department, there is an unacceptable potential for harm to human health or to
human safety.

(c)

Backwater created by a dam during a 100-year storm shall be the minimum which
is contained within the applicant's property unless written consent is obtained from
all potentially affected property owners. Effects on both surface and ground water
shall be considered, during normal pool conditions.

(d)

No person may construct a dam in any waterway of this state which is a runway for
migratory fish, without installing a fish ladder or other approved structure to permit
the fish to pass the dam in either direction (see N.J.S.A. 23:5-29.1).
1.

This provision is applicable to dams of any size.

2.

The Department will determine whether a stream is currently a runway for


migratory fish, during the review of the dam permit application. Applicants
should consult the Division of Fish and Wildlife in this matter prior to
finalizing the application.

(e)

Unless otherwise approved by the Department, dam construction shall commence


within one year from the date of the permit and be completed within two years
from the said date or the permit will become null and void. For good cause shown,
the Department may extend the two year construction deadline for a total of no
more than five years, one year at a time. Applicants must make written request for
an extension, prior to the expiration date of the permit or prior extension.

(f)

No action shall be brought against the State or the Department or its agents or
employees for the recovery of damages caused by the partial or total failure of any
dam or reservoir or through the operation of any dam or reservoir upon the ground
that the Department is liable by virtue of any of the following:

1.

The approval of the dam or reservoir, or approval of flood handling plans


during construction.

2.

The issuance or enforcement of orders relative to maintenance or operation


of the dam or reservoir.

3.

Control, regulation and inspection of the dam or reservoir.

4.

Measures taken to protect against failure during an emergency.

(g)

The Department may deny any application for a dam permit, based upon its
conclusion that the construction or operation of dam will cause an unacceptable
threat to or impact on natural or cultural resources or the environment.

(h)

The Department shall be notified immediately by the owner or operator upon the
detection of any condition which may jeopardize the safety of the structure.

(i)

Situations which threaten the public health, safety, and welfare and require
emergency dam repair will be considered by the Department under the following
procedure:
1.

The owner or operator shall inform the Department by telephone as to the


extent of work to be performed, the reason for the emergency and the
location of the project.

2.

The owner or operator shall perform the emergency work upon verbal
approval of the Department, which approval shall be verified by the
Department in writing within three working days. The Department shall
offer guidance and instructions in performing the work.

3.

After the work has been completed in accordance with the Department's
instructions, the owner or operator shall submit a dam Permit Application
and "as built" drawings to the Department for review. A letter shall be
issued by Department in lieu of a dam permit.

(j)

The Department shall be notified in writing on or before the transfer of dam


ownership.

(k)

Unless otherwise approved by the Department in writing, no person shall dredge


within 200 feet of a dam.

(l)

Utilities crossing within dam embankments are prohibited unless demonstrated to


the satisfaction of the Department that such utilities will not jeopardize the safety
of the dam.

(m)

No person shall remove or breach an existing dam without first having obtained a
permit from the Department unless subject to the permit-by-rule provisions in
N.J.A.C. 7:20-1.3.

(n)

Unless otherwise approved by the Department, no trees shall be permitted to grow


on the dam embankment.

N.J.A.C. 7:20-1.5

General application procedures

(a)

The procedures for applying for a dam construction, modification or repair permit
and for submitting the supporting engineering documents include the
preapplication stage and the application stage, as described below. For Class III
dams (see N.J.A.C. 7:20-1.8) all required information may be submitted at one
time, with such detail as is appropriate to the safe design of the type of structure
proposed.

(b)

The applicant for a dam permit must use a New Jersey licensed professional
engineer to prepare the plans and specifications and to supervise the inspection of
the construction.

(c)

The Department may require any owner or operator of an existing dam to obtain a
permit for repair or modification of the dam and appurtenances where:

(d)

1.

Repair or modification is necessary to insure protection of human health or


safety; or

2.

Modification is required to comply with the provisions of this chapter,


unless the following circumstances exist:
i.

Compliance is impracticable; and,

ii.

Noncompliance poses no unacceptable threat to human health or


safety.

Appeal procedures; permit denials


1.

An applicant for a dam permit may request in writing an administrative


hearing from the Department within 15 days of receipt of the decision by
the Department to deny the application.

2.

The request for a hearing shall specify in detail the basis for the request,
including all issues of fact or law. The Department may attempt to settle the
dispute by conducting such proceedings, meetings and conferences as

deemed appropriate. Should the efforts to settle the dispute fail and if the
Department determines that the matter is a contested case, the Department
shall forward the request for a hearing to the Office of Administrative Law,
pursuant to the provisions of the Administrative Procedure Act (N.J.S.A.
52:14B-l et seq.)
(e)

Applicants for a dam permit for a Class III dam, as defined pursuant to N.J.A.C.
7:20-1.8, may submit a preliminary application, which should include that
information needed to establish a Class III hazard classification. Thereafter, in its
discretion, the Department may waive certain documentation and inspection
requirements set forth in these rules.

N.J.A.C. 7:20-1.6
(a)

Preapplication Stage

The applicant must submit a written Preliminary Report which must include the
following:
1.

2.

A general description of the dam and all appurtenances thereto, and the
proposed dam classification, pursuant to N.J.A.C. 7:20-1.8. The description
shall include the following:
i.

A statement of the purpose for which the dam and appurtenances are
to be used; and

ii.

A description of the potential effects of project construction and


operation upon the environment.

Maps of the area within one-half mile of the dam and impoundment
boundary, showing the following:
i.

The location of the proposed dam and all appurtenances, thereto;

ii.

The location of all structures;

iii.

The county and township;

iv.

The boundary of the reservoir;

v.

The location of all streets and roads;

vi.

The location of all major utilities, i.e. pipe lines and transmission,
telegraph, and telephone lines; all minor utilities shall be identified
in the immediate vicinity of the dam and impoundment area.

vii.

The topography and scale; and

viii.

All other structures or facilities affected by the proposed dam,


including the area downstream from the dam (State, county, and
U.S.G.S. maps and aerial photographs may be used for this
purpose).

3.

A written report of the surficial conditions (i.e. geology, topography, and


culture), based upon a field reconnaissance by the applicant's engineer;

4.

Typical cross-sections of the dam, and any dike(s) and levee(s), showing
proposed elevations, pool levels and top and bottom widths;

5.

Preliminary design data, tentative conclusions and references. The design


data shall address hydrologic features such as drainage area and rainfall
data, the basis for proposed dam location, the basis for the type of structure
and spillway proposed, the soils and geologic engineering criteria and the
basis for design and construction;

6.

The hydrologic design procedure and the storm durations which are used in
the design;

7.

All documentation and information related to determining hazard


classification; and

8.

Other information required by the Department.

(b)

Upon review of the pre-application, the Department will notify the applicant of
what design criteria will apply.

(c)

Applicants for a permit to repair an existing dam are not required to submit a
preliminary report unless the Department determines it to be necessary.

N.J.A.C. 7:20-1.7 Application Stage


(a)

The application shall be on forms specified and supplied by the Department and
must be accompanied by two copies of the final design report, construction
specifications and all plans, drawings, and designs. Upon the written request of the
applicant, the Department may waive certain requirements for documentation in the
application stage set forth at (b) to (g) below for a permit to modify or repair an
existing dam.

(b)

The application shall include a Final Design Report, which must contain the
following:
1.

A report of the field and laboratory investigation(s) of the foundation soils

and/or bedrock, a location map to identify borings and the materials that
will comprise the dam and any dikes or levees. Stability and settlement
analyses and seepage and underseepage studies are required, unless the
applicant can demonstrate to the satisfaction of the Department that these
analyses are not necessary.

(c)

2.

The bases, references, calculations and conclusions relative to hydrologic


studies and design of spillway.

3.

Structural and hydraulic design studies and calculations. Structural,


hydraulic and hydrologic design procedures should be used, as established
by one of the following: the U.S. Army Corps of Engineers, the U.S.
Bureau of Reclamation, the U.S. Natural Resources Conservation Service
and other procedures universally accepted as sound engineering practice.

The application must include all drawings necessary to fully describe the proposal.
Drawings must be prepared in accordance with the following:
1.

All drawings must be prepared by a New Jersey licensed professional


engineer or land surveyor, as appropriate. Each drawing shall have a title
block which meets the requirements of the State Board of Professional
Engineers and Land Surveyors.

2.

Drawings must clearly show the datum to which elevations shown are
referred. The National Geodetic Vertical Datum of 1929 (N.G.V.D.),
formerly known as the U.S. Coast & Geodetic Survey datum, should be
used wherever possible. If the N.G.V.D. datum is not used, an appropriate
conversion equation must be indicated on the drawings.

3.

The applicant must submit drawings showing the following information:


i.

A general plan of the dam, drawn to an appropriate scale, which


must show accurately the position of all essential details, such as the
spillway and its point of discharge into the stream, pipes through the
dam, inlets, outlets, screen chambers, gate or valve houses,
head-races, the canal mill or power plant, tailraces and downstream
bridges which might cause backwater on the dam;

ii.

A longitudinal section of the dam and cross-section of the valley at


the site of the dam, showing the elevation of the crest of the dam,
the elevation of the normal and design storm flow line of the lake or
reservoir, the original surface of the ground, the nature and depth of
the underlying strata, the probable depth of the excavation for the

foundation of the dam and for the cutoff, foundation treatment,


elevation of the restored surface of the ground, the location and
elevation of all pipes or conduits passing through the dam, the core
wall, if any, and the spillway structure;
iii.

iv.

Typical cross sections, including a maximum section of the dam and


of a spillway section which shall meet the following requirements;
(1)

Cross sections must show the original surface of the ground,


subsurface conditions as disclosed by test pits or borings, the
probable depth of excavations for the foundation and for
cutoff, the elevations of the top of the dam, the crest of the
spillway and the normal flow line or water surface in the
reservoir;

(2)

For earth dams, the depth of stripping must be shown, as


well as the position, material and dimensions of the cutoff or
core wall, the width of the crest, the slopes and the nature
and dimensions of the slope protection, the position and
dimensions of the outlet pipes or conduits and the cutoff to
prevent seepage along such structures, the disposition of
different classes of embankment material if of varying
composition, toe drains and clay blankets;

(3)

For concrete or other composite dams, the cross sections


shall show all dimensions and shall indicate the position and
kinds of material to be included in the structure.

If not clearly indicated on one or more of the drawings listed above,


the following details shall be shown on additional detail sheets:
(1)

Detail of spillway or overflow, showing the length and depth


of opening, together with the width and shape of the crest,
grade and shape of the approach and discharge channels, if
any, methods of protecting the toe of the dam or end of the
discharge channel from erosion and the dimensions of all
walls, floors and paving;

(2)

Details of the intake and outlet works, showing the location


and dimensions of all valves or sluice gates, intakes, screen
chambers, racks, outlet towers and gate houses and
appurtenances;

(3)

For reinforced concrete dams, detailed drawings must also be

submitted, showing the size, spacing and arrangement of all


reinforcing steel and expansion joints; and
(4)

(d)

(e)

Special drawings shall be submitted showing any special


construction features not otherwise shown, such as piling,
fishways, aprons, materials used in the core wall, movable
dams, tainter gates and mechanical devices, drains and
instrumentation.

The application must include specifications, containing the following:


1.

General provisions, specifying the rights, duties and responsibilities of the


owner, applicant, applicant's engineer and the builder;

2.

The estimated project schedule and sequence of work; and

3.

Technical provisions, describing carefully and in detail the approved work


methods and procedures, standards for equipment and testing, materials to
be used and the results to be obtained.

The applicant shall complete all investigations, including the following, prior to
submission of the final design report which shall meet the following requirements:
1.

The scope and the degree of precision of investigations required for a


specific project shall be based on the complexities of the site, the
importance of the proposed structure and the hazard created by the
proposed structure.

2.

The foundation investigation shall consist of borings, test pits, seismic


investigations or other subsurface explorations and must be performed so as
to accurately define the soil and rock stratigraphy and the ground water
conditions to the satisfaction of the Department.

3.

Laboratory testing of undisturbed and remolded soil specimens and rock


samples may be required by the Department.

4.

The applicant must determine the nature and extent of materials which are
proposed for use in the structure, (e.g., borrow material, concrete aggregate,
riprap stone, filter materials) and their structural properties when
incorporated into the proposed structure.

5.

Stability analysis and calculations for the proposed structure to ensure


safety against failure due to overturning, sliding or overstressing must be

submitted and approved by the Department.


6.

Topographic surveys must be performed with sufficient accuracy to locate


the proposed construction and to define the volume of the storage in the
reservoir and the flowage limits. The upstream and downstream area must
be investigated in order to delineate the area of potential damage in case of
failure or flooding. Locations of baselines, centerlines and other horizontal
and vertical control points must be shown on the topographic map of the
site.

7.

The drainage area must be accurately determined. Both present and


projected future land use must be considered in determining the runoff
characteristics of the drainage area. The most severe of these two conditions
must be used in the design. The hydrologic assumptions and design
calculations used in spillway designs shall be specified and shall include:
i.

Drainage area size;

ii.

Rainfall and runoff data;

iii.

Reservoir inflow hydrographs;

iv.

Reservoir area-capacity-elevation data;

v.

Spillway elevation-discharge data; and

vi.

Reservoir flood routings, except as otherwise provided in this


subchapter.

(f)

All applicants must submit an Operation and Maintenance Manual in accordance


with N.J.A.C. 7:20-1.1 and applicants for Class I and II dams (see N.J.A.C.
7:20-1.8) shall prepare and submit an Emergency Action Plan which shall at least
include a Dam Breach Analysis, Inundation Maps and Emergency Notification and
Evacuation Plans.

(g)

The Department may require the submission of an Environmental Impact


Statement, as defined in N.J.A.C. 7:20- 1.2, by any applicant for a dam permit.

(h)

The application to remove or breach a dam shall include the following:


1.

Design report, and plans and computations to effect the breach including
size of breach, shape of breach, disposal of spoil material;

2.

Plans and computations for stabilization of the lake bed including the
channel upstream of the breach, and for the control of sediment within the
lake and downstream of the breach during and after the breach has been

effected;

(i)

3.

Computations for design of the method and timing for dewatering the lake;

4.

Computations detailing the effects of the breach on the downstream channel


and demonstrating that the project will not adversely affect flooding
conditions downstream during the 10, 50 and 100 year storms;

5.

Specifications containing the technical provision which describe in detail


the proposed work methods and equipment and, in addition, a work
schedule for the entire project;

6.

A plan of the existing dam and lake along with surrounding property lines;

7.

Evidence that all adjoining property owners of the impoundment and the
municipality where the reservoir or dam is located have received
notification that an application has been submitted to the Department to
remove or breach a dam and proof of publication of notice of the proposed
removal application in at least one newspaper of general circulation in the
municipality where the reservoir or dam is located;

8.

A description of the potential effects of the dam removal or breach upon the
environment; and

9.

A description of the potential effects of the dam removal or breach upon life
and property downstream of the dam.

When a petition has been filed in accordance with the Safe Dam Act, N.J.S.A.
58:4-9, protesting against the removal of any reservoir, water or dam or against the
decommissioning of any reservoir or dam, the Commissioner shall, pursuant to the
requirements of N.J.S.A. 58:4-10, hold a public hearing, upon 30 days notice to all
parties interested, and following prior notice published 30 days before the hearing
in at least one newspaper of general circulation in the municipality in which the
reservoir or dam is located.

N.J.A.C. 7:20-1.8
(a)

Dam Classification

The Department will use the following guidelines to classify dams according to
hazard. Probable future development of the area downstream from the dam which
might be affected by its failure will be considered in determining the hazard
classification. The Department may, in its discretion, change the hazard class of
any proposed or existing dam.
1.

Class I - High Hazard Potential: This classification includes those dams, the

failure of which may cause the probable loss of life or extensive property
damage.
i.

The existence of normally occupied homes in the area that are


susceptible to significant damage in the event of a dam failure will
be assumed to mean "probable loss of life".

ii.

Extensive property damage means the destructive loss of industrial


or commercial facilities, essential public utilities, main highways,
railroads or bridges. A dam may be classified as having a high
hazard potential based solely on high projected economic loss.

iii.

Recreational facilities below a dam, such as a campground or


recreation area, may be sufficient reason to classify a dam as having
a high hazard potential.

2.

Class II - Significant Hazard Potential: This classification includes those


dams, the failure of which may cause significant damage to property and
project operation, but loss of human life is not envisioned. This
classification applies to predominantly rural, agricultural areas, where dam
failure may damage isolated homes, major highways or railroads or cause
interruption of service of relatively important public utilities.

3.

Class III - Low Hazard Potential: This classification includes those dams,
the failure of which would cause loss of the dam itself but little or no
additional damage to other property. This classification applies to rural or
agricultural areas where failure may damage farm buildings other than
residences, agricultural lands or non-major roads.

4.

Class IV - Small Dams: This classification includes any project which


impounds less than 15 acre-feet of water to the top of dam, has less than 15
feet height-of-dam and which has a drainage area above the dam of 150
acres or less in extent. No dam may be included in Class IV if it meets the
criteria for Class I or II. Any applicant may request consideration as a Class
III dam upon submission of a positive report and demonstration proving low
hazard.
N.J.A.C. 7:20-1.9
Design criteria
(a)

The minimum design storm used to calculate required spillway capacity must be
determined according to the following table:
Hazard

Spillway Design Storm (SDS)

Class I

PMP

Class II

One-half PMP

Class III

24 hour 100 year frequency,


Type III storm*

Class IV

24 hour 100 year frequency,


Type III storm plus 50%*

*Any later technology adopted by the U.S. Department of Agriculture, Natural Resources
Conservation Service may be substituted for the use of the Type III storm.
(b)

For existing dams, it is recognized that the relationships between valley slope and
width, total reservoir storage, drainage area, and other hydrologic factors have a
critical bearing on determining the safe spillway design flood. When appropriate,
based on the design of a dam, rational selection of a reduced spillway design for
specific site conditions based on quantitative and relative impact analysis is
acceptable. The spillway should be sized so that the increased downstream damage
resulting from overtopping failure of the dam would not be significant as compared
with the damage caused by the flood in the absence of a dam overtopping failure.
The minimum design storm for the dam shall be the 100 year storm.

(c)

All Class II and III dams shall, where practicable incorporate in the proposed
design, the ability to make modifications necessary to increase the spillway
capacity of the facility or other alternative measures if the downstream hazard
potential increases.

(d)

All dams shall have an adequate storage for the design storm or have a spillway
system which will safely pass the design storm without endangering the safety of
the dam.

(e)

Each spillway shall include a satisfactory means of dissipating the energy of flow
at its outlet without endangering the safety of the dam.

(f)

The capacity of the spillway system shall be equal to the peak inflow of the design
flood unless the applicant demonstrates by flood routing procedures that the
spillway system has the capacity to safely pass the resulting water flow.

(g)

Pipe conduits may be used for the primary (principal) spillway. When so used, the
following requirements shall be met:
1.

Pipe conduits shall be of such design as to safely support the total external
loads in addition to the total internal hydraulic pressure without leakage.
The type of construction material used shall be consistent with the
anticipated life of the structure. Corrugated metal pipe shall not be used in
the construction of new dams.
i.

For Class I and II dams, the minimum allowable inside dimension of

the pipe conduit is 30 inches.

(h)

(i)

ii.

For Class III dams, the minimum allowable inside diameter of the
pipe conduit is 18 inches.

iii.

For Class IV dams, the minimum allowable inside diameter of the


pipe conduit is 12 inches.

2.

All pipe conduits shall convey water at the maximum design velocity
without damage to the interior surface;

3.

The pipe conduit must be designed so that negative pressures will not occur
at any point along the primary (principal) spillway system;

4.

Anti-seep collars or other methods approved by the Department must be


installed to control seepage along the conduit;

5.

Adequate allowances shall be incorporated in the design to compensate for


differential settlement and possible elongation of the pipe conduit;

6.

An anti-vortex device must be included in the design, unless the applicant


can demonstrate that one is not necessary.

7.

A trash rack, approved by the Department, shall be installed at the intake to


prevent clogging of the pipe conduit; and

8.

An emergency spillway shall be provided; and

9.

Cathodic protection is required for all metal pipes .

Should a vegetated or unlined auxiliary spillway, approved by the Department, be


installed, it must be able to pass the design storm without jeopardizing the safety of
the structure and that has a predicted average frequency of use less than:
1.

Once in 100 years for Class I dams:

2.

Once in 50 years for Class II dams; or

3.

Once in 25 years for Class III and IV dams.

Drawdown requirements are as follows:

1.

Except for excavated impoundments, all dams shall include a device to


permit draining the reservoir, as approved in writing by the Department.
Computations for the minimum time required to drain the reservoir shall be
required for new and existing dams.

2.

Unless the applicant demonstrates to the satisfaction of the Department that


there is a need to locate a valve downstream from the dam and that the areas
downstream of the dam will remain protected, all valves or sluice gates in
pipe conduit drains must be installed upstream of the dam.

3.

All pipe conduits used as drawdown drains for all dam classifications shall
meet requirements of (g) above, except that the minimum allowable inside
dimension may be less than 30 inches.

4.

Dams which impound water on a permanent basis shall include a means to


allow the reduction of the reservoir water surface elevation five feet in 10
days at a rate not to exceed one foot per day. This requirement shall not
apply to dams whose intended purpose requires and whose design allows
faster drawdown times. For existing dams which satisfactorily meet
Department safety and operating criteria, the applicant may, with prior
approval of the Department, present alternative reservoir drawdown plans.

(j)

Design references used shall be cited in the information submitted to the


Department.

(k)

Monitoring devices to permit inspection and assessment of the dam's condition may
be required by the Department for use in the inspections during and after
completion of construction.

(1)

The applicant shall demonstrate to the Department that the riparian rights of
downstream property owners will be protected during construction, during the
period when the reservoir is being filled and during the life of the dam and
reservoir.

(m)

Unless the applicant can demonstrate that an alternative slope is acceptable,


upstream slopes of an earth dam may be no steeper than three horizontal to one
vertical ratio, and downstream slopes may be no steeper than two horizontal to one
vertical ratio. Measures are required for protection of upstream slopes against wave
action or rapid draw-down and for protection of the downstream slope against
scour or erosion due to high tailwater.

(n)

Freeboard requirements are as follows:


1.

Sufficient freeboard shall be provided to prevent overtopping of the dam or


any dike or levee due to passage of the design flood or due to frost damage,
ice damage or wave action.

(o)

2.

For all dams the minimum elevation of the top of the dam must be that
necessary to pass the design storm with at least one foot of freeboard to the
top of dam.

3.

Where special conditions of severe frost damage, ice damage or wave


action may occur, higher elevations than required in (n)2 above may be
required and should be considered by the applicant.

The Department may require the design and installation of any additional or
modified measures by any applicant for a dam permit where appropriate to insure
the protection of human health or safety.

N.J.A.C. 7:20-1.10
(a)

Construction

Requirements relating to supervision of dam construction are as follows:


1.

All applicants shall submit a written description and schedule of the


proposed construction, including:
i.

The estimated time to complete the construction activities, see


N.J.A.C. 7:20-1.4(e);

ii.

Where applicable, a description of the means by which stream flow


will be diverted around or through the dam site, or otherwise kept
from interfering with the work;

iii.

The number of inspectors designated for inspection for construction


quality control; and

iv.

Steps to be taken to minimize erosion and sediment production


during construction.

2.

The extent and method of inspection for construction quality control must
be described and approved by the Department, including an inspection
schedule.

3.

The diversion facility, as outlined in l.i above, must remain open and no
water may be permanently stored in the reservoir until the permittee
demonstrates to the Department that storage of water will neither interfere
with construction activities nor create a hazard to life, health or property.

4.

The professional engineer responsible for inspecting the construction must


submit progress reports to the Department at least once each month, during
the construction period.

5.

The permittee shall promptly advise the Department of all proposed


changes in the approved design, plans or specifications. There may be no
change in the approved design, plans or specifications without prior
approval of the Department. All approved changes must be recorded on the
complete set of as-built plans, required in (a) 6, below. The Department
may require the submission of revised designs at any time. Written prior
approval from the Department is required for major modifications, which
shall include significant changes in scale, use, design, impact, etc. of the
project, as initially approved. The Department may require written, prior
approval of any proposed modification.

6.

A complete set of as-built designs, plans and specifications must be


submitted to the Department upon completion of the project.

7.

The professional engineer who has inspected the construction shall submit
written certification that the structure has been built in conformance with
the designs, plans and specifications, and with any changes approved by the
Department.

(b)

The Department may, in its discretion, require the owner to obtain the services of
an Independent Review Board to oversee the design and construction of any
proposed or existing dam.

c)

Construction inspection program requirements are as follows:


1.

The Department may inspect the dam during construction to insure that it is
being built in compliance with the designs, plans and specifications
submitted to the Department. Departmental inspections in no way relieve
either the permittee or the professional engineer in charge from the
responsibility of providing adequate inspection of the work.

2.

If, at any time during the progress of the work, the Department finds that
the work is not being performed in accordance with the approved designs,
plans and specifications and any approved changes, the Department will
serve a written notice to that effect on the permittee or his representative.
Such notice will state the particulars with which the work has not complied.
Additionally, the Department may order the immediate compliance with
such designs, plans, specifications, and changes and suspension of all other
work until compliance has been effected. If the owner or his representative
fails to comply with this order, the permit under which construction is
authorized may be revoked or suspended by the Department.

3.

Upon receipt of the as-built plans required in subsection (a) 6 above and the
engineer's certification required in subsection (a) 7 above the Department
will inspect the completed construction within 45 days. If the Department
finds that construction was completed in accordance with the approved

designs, plans, specifications and approved changes, the construction will


be approved in writing within 30 days. The approval date shall be the date
such approval is sent by the Department.
4.

In the 12th month following approval of construction by the Department


pursuant to (c) 3 above, the Department will make a final inspection of the
construction. If the Department makes a final inspection of the construction,
a final approval may be given by the Department, if the final inspection
shows that the terms of the permit, designs, plans, specifications and
approved changes thereof have been met.

N.J.A.C. 7:20-1.11

(a)

Dam operating requirements and inspections: new and existing


dams

The owners and operators of all dams shall develop and use an Operation and
Maintenance Manual which provides guidance and instruction to project personnel
for the proper operation and maintenance of the reservoir and dam, and meets the
following requirements:
1.

The manual shall be composed of two parts:


i.

Part One shall include an introduction, project description, project


authorizations, project history and list of project contracts.

ii.

Part Two shall contain the operation and maintenance instructions


for major project facilities and equipment and a schedule for
maintenance.

(b)

The owners or operators of all dams which raise the waters of any stream more than
70 feet above its usual mean low-water height or which impound more than 10,000
acre-feet of water shall have a regular inspection performed annually and formal
inspections performed every three years by a New Jersey licensed professional
engineer. These inspections must be attended by a professional engineer assigned
from the Department. In the year of the formal inspection, regular or informal
inspections need not be performed.

(c)

Owners or operators of Class I dams not meeting the size characteristics described
in (b) above shall have a regular inspection performed once every two years and a
formal inspection performed every six years.

(d)

Owners or operators of Class II dams shall have a regular inspection performed


once every two years and a formal inspection performed every 10 years.

(e)

Owners or operators of Class III and IV dams shall have a regular inspection

performed every four years. The Department may at its discretion require the owner
or operators to perform a formal inspection of a Class III or IV dam.
(f)

All dam inspections shall be performed from March through December.

(g)

All inspections shall be performed in compliance with the following requirements:


1.

A written guide provided by the Department for the preparation of a Report


on Condition of the dam shall be used for all inspections.

2.

Formal and regular dam inspections shall be performed by a licensed New


Jersey professional engineer. Except for Class IV dams, the required report
shall be submitted to the Department by the engineer within 30 days of
completion of the inspection. The report shall indicate the results of the
inspection, documenting the conclusions and recommendations. Reports for
Class IV dams shall be submitted to the county and/or municipal engineer
having jurisdiction over the dam structure.

3.

Informal inspections may be performed by the dam owner or operator and


the Report on Condition shall be part of the owner's or operator's permanent
file and, unless requested by the Department, Reports shall not be submitted
to the Department.

4.

The Department may extend the time for submission of the required
material for up to 30 days, if the owner or operator justifies the need for
such extension.

5.

Failure by the permittee to inspect within the required time periods or


failure to submit the Report on Condition may result in an order to drain the
impoundment under the provisions of the Safe Dam Act (N.J.S.A. 58:4-1 et
seq.), and/or any other remedy allowed by law.

(h)

For good cause, the Department may require the owner or operator of any dam to
perform an inspection of any type at any time.

(i)

The owner or operator of all Class I and II dams shall prepare and use an
Emergency Action Plan, as described in N.J.A.C. 7:20-1.7(f).

Form DS#96

State of New Jersey


Department of Environmental Protection
Dam Safety Permit Application
Submit to:
Dam Safety Section
P.O. Box 419
501 E. State Street
Trenton, NJ 08625
Tel: (609) 984-0859 Fax: (609) 984-1908
Read requirements and follow instructions carefully. Please print or type.
1a.

Applicant/Owner____________________________Telephone________________
Legal Address_______________________________________________________
City or Town_________________________State________Zip Code___________

1b.

Applicant/Owner____________________________Telephone________________
Legal Address_______________________________________________________
City or Town_________________________State________Zip Code___________

1c.

Co-permittee_______________________________Telephone________________
Legal Address_______________________________________________________
City or Town_________________________State________Zip Code___________

2.

Owner=s Engineer
Name_______________________________N.J. License No._________________
Name of Firm_______________________________________________________
Address____________________________________________________________
City or Town_________________________State________Zip Code___________
Telephone__________________________________________________________

3.

Project Description___________________________________________________
__________________________________________________________________
__________________________________________________________________

4.

Estimated construction cost of project____________________________________

5.
Will the work require the lake to be
lowered?___________________________
___

Date received:

Assigned to:

Sheet 1 of 4

6.

Project Location_________________________________________________________
Name of Dam___________________________________________________________
Across (name of Stream)__________________________________________________
At a Point______________________________________________________________
(A distance from mouth of stream or County or municipal boundary)

Municipality_______________________County________________________________
Latitude___________________________Longitude_____________________________
Quad sheet Location_________________Nearest downstream Municipality__________
Lot_______________________________Block________________________________

7.

GENERAL INFORMATION:
NJ File No._____________________________________________________________
Federal ID No.__________________________________________________________
Application No._________________________________________________________
Hazard Classification_______________
Purpose of Dam_____________________
Dam Height (ft)___________________
Normal Surface (ac)__________________
Dam Length (ft)___________________
Normal Capacity (af)_________________
Dam Type________________________
Maximum Capacity (af)_______________
Upstream slope____________________
Downstream slope___________________
Spillway type_____________________
Design Flood Flow (cfs)______________
Other Spillway____________________
Freeboard (SDF) (ft)_________________
Drainage (sqr mls)_________________
Spillway Capacity (cfs)_______________

8.

The Dam Safety Standards (N.J.A.C. 7:20-1 et. seq.) must be used in preparation of the
following attachments which must be submitted in addition to this form:
A. Two sets of construction specifications.
B. Site location map (U.S.G.S. sheet)
C. Five sets of all construction plans and details.
D. Two sets of the final design report including all supporting calculations.
E. Operation and Maintenance Manual (O&M).
F. Emergency Action Plan (EAP). Required for Class I and II only.

Sheet 2 of 4

9.

Have any other applications for this site/project been submitted, or have any state
permits been issued for this project? (If yes, indicate status and project number below.)
Permit Type

9.1

Stream Encroachment Permit..................

Application Status
(i.e. pending/approved)
_______________

Project No.

9.2

Waterfront Development Permit.............

_______________

__________

9.3

Statewide General FWW Permit.............

_______________

__________

9.4

Freshwater Wetlands Individual Permit..

_______________

___________

9.5

Pinelands Certificate of Filing.................

_______________

___________

9.6

D & R Canal Commission Certificate.....

_______________

___________

9.7

Temporary Water Lowering.....................

_______________

___________

9.8

Permanent Water Lowering......................

_______________

___________

9.9

Water Diversion........................................

_______________

___________

9.10

Local Permits (Specify)............................

_______________

___________

9.11

Federal Permits (Specify).........................

_______________

___________

__________

ENDORSEMENTS
A.

APPLICANT SIGNATURE
I certify under penalty of law that the information provided in this document is true and
accurate. I am aware that there are significant civil and criminal penalties for
submitting false or inaccurate information.
____________________________
Type name

_______________________
Type name

____________________________
Signature of Applicant/Owner

_______________________
Signature of Applicant/Owner

____________________________
Date

_______________________
Date

Sheet 3 of 4

B.

PROPERTY OWNER==S CERTIFICATION


I hereby certify that the undersigned is the owner of the property upon which the proposed
work is to be done. This endorsement is certification that the owner grants permission for the
conduct of the proposed activity. In addition, I hereby give unconditional written consent to
allow access to the site by representatives or agents of the Department for the purpose of
conducting a site inspection or survey of the project site.
In addition, the undersigned property owner hereby certifies:
1.

Whether any work is to be done within an easement -

Yes____ No____

2.

Whether any part of the entire project (e.g., pipeline, roadway, cable, transmission line,
structure, etc.) will be located within property belonging to the State of New Jersey
Yes____ No____
______________________________
______________________________
______________________________
Type or print name and address of owner, if
different from item 1 on page 1

________________________
Date
C.

______________________________
Signature of Property Owner

STATEMENT OF PREPARER OF PLANS, SPECIFICATIONS, SURVEYOR==S OR


ENGINEER==S REPORT.
I hereby certify that the plans, specifications and engineer=s report, if any, applicable to this
project comply with the current rules and regulations of the New Jersey Department of
Environmental Protection and that I am familiar with the laws and regulations governing the
practice of engineering and land surveying in New Jersey and the definition of Aresponsible
charge@ therein and my responsibility under this definition.
___________________________________
Signature
___________________________________
Print Name and Date
___________________________________
Position, name of firm
Professional Engineer=s
Embossed Seal
Sheet 4 of 4

APPENDIX B
EXAMPLE PERMIT REQUIREMENTS

_____________________________

CASE 3: PENNSYLVANIA

_____________________________

Fact Sheet

Commonwealth of Pennsylvania Department of Environmental Protection

DAM PERMITS IN PENNSYLVANIA

What is a dam?
A dam is any artificial barrier, such as an earthen
embankment or concrete structure, built for the purpose
of impounding or storing water or another fluid or semifluid.

following information is necessary for a jurisdictional


determination:
*1.

The location of the proposed project site, indicated


on a copy of a United States Geological Survey
Topographic Map.

*2.

A copy of the Soil Survey Map for the project area.

When does a dam need a permit?


1.

A dam permit is required if the proposed dam will


be built across a stream and it meets one of the
following criteria:
a.

The contributory drainage area exceeds 100


acres. The drainage area is the land area
that, during a storm event, contributes water
runoff to the impounding area.

b. The maximum depth of water, measured from


the upstream toe of the dam to the top of the
dam at maximum storage elevation, is greater
than 15 feet.
c.

The impounding capacity (storage volume) at


maximum storage elevation is greater than 50
acre-feet.

2.

A dam permit is required if the proposed dam is


not located across a stream and criteria 1.b AND
1.c listed above are met.

3.

A dam permit is required if the dam will store a


fluid or semi-fluid, other than water, that may result
in pollution or danger to persons or property if it
escapes.

Who makes the determination of the need


for a permit for proposed dams?
A determination of the need for a permit can be
requested from the Department of Environmental
Protections (DEPs) Division of Dam Safety.
The

* A copy of these maps may be obtained from your


County Conservation District Office.

3.

A plan view sketch, indicating the proposed


surface area of the impoundment and its proximity
to streams, wetlands and other structures at the
site.

To request a determination of the need for a permit,


send the information described in this fact sheet to:
Department of Environmental Protection
Bureau of Waterways Engineering
Division of Dam Safety
P. O. Box 8554
Harrisburg, PA 17105-8554
(717) 787-8568

What if wetlands or a stream exist at the site?

4.

A cross-section of the dam (or embankment)


indicating the maximum depth.

1.

If the proposed dam does not require a dam


permit, but is located in, along or projecting into a
wetlands or across a stream, DEP approval of an
Environmental Assessment is required.
(An
Environmental Assessment is an evaluation of the
potential impacts that a project may have on
aquatic resources.) The department will provide
an Environmental Assessment form with the
notification of the determination of the need for a
permit or other approvals.

2.

In addition, if the proposed dam does not require a


dam permit, but is located in an exceptional value
watershed, DEP approval of an Environmental
Assessment is required.

3.

Any excavation of wetlands, stream or floodway


within the impoundment area would require an
encroachment permit from DEP. The department,
upon receipt of the information discussed above,
will make this determination.

For more information, visit DEPs website at


www.state.pa.us, Keyword: DEP Dam Safety.
5.

Color photographs of the site.

Commonwealth of Pennsylvania
Edward G. Rendell, Governor
An Equal Opportunity Employer

Department of Environmental Protection


Kathleen A. McGinty, Secretary
3100-FS-DEP2725 Rev. 8/2004

APPENDIX B
EXAMPLE PERMIT REQUIREMENTS

_____________________________

CASE 4: UTAH

_____________________________

APPENDIX C
INSPECTION CHECKLIST

_____________________________

CASE 1: ARIZONA

_____________________________

ARIZONA DEPARTMENT OF WATER RESOURCES


OFFICE OF WATER ENGINEERING DAM SAFETY SECTION
DAM SAFETY INSPECTION REPORT
Each item of the checklist should be completed. Repair is required when obvious problems are observed. Monitoring is recommended if there is a potential for a problem
to occur in the future. Investigation is necessary if the reason for the observed problem is not obvious.

SID: (xx.xx)

DAM NAME:

TYPE:

PURPOSE:

CONTACT(S):

REPORT DATE:

INSPECTED BY:

INSPECTION DATE:

REVIEWED BY:

DATE:

DESIGN DAM CREST ELEVATION:

DESIGN SPILLWAY CREST ELEVATION:

DESIGN TOTAL FREEBOARD (FT):

MEASURED TOTAL FREEBOARD (FT):

STATUTORY DAM HEIGHT (FT):

MAXIMUM EMBANKMENT HEIGHT (FT):

DAM CREST LENGTH (FT):

UPSTREAM SLOPE:

DAM CREST WIDTH (FT):

GPS

RSRVR. AREA (AC):

Lat.: xxxxxx.x
Long.: xxxxxx.x

RSRVR. STORAGE (AC-FT):

DOWNSTREAM SLOPE:
WATER RIGHTS:
MAX. STORAGE (AC-FT):

INFLOW DESIGN FLOOD / SAFE FLOOD-PASSING CAPACITY:


RESERVOIR LEVEL DURING INSPECTION:

PHOTOS:

Page 1 of

COMPLIANCE CHECKLIST
1. CONDITION SUMMARY / LICENSE / EAP / NEXT INSPECTION
a. Recorded downstream hazard: _______ Should hazard be revised?
b. If High Hazard, estimate downstream persons-at-risk (PAR): _______ Is there a significant increase since the last
inspection?
c. Recorded size: _______ Should size be revised?
d. Any safety deficiencies? Describe:
e. Any Statute or Rule violations? Describe and list required action:
f. Safe storage level on License: _______ Should level be revised?
g. Any License violations? Describe and list required action:
h. Date of current License: _______ Should new License be issued?
i. Date of last Emergency Action Plan revision: _______ Should EAP be revised?
j. Normal inspection frequency: _______ Should inspection frequency be revised?
k. Recommended date for next inspection:

MONITORING CHECKLIST
2. INSTRUMENTATION AND MONITORING
a. Describe:
b. Any repair or replacement required? Describe:
c. Date of last monitoring report: _______ Should new readings be taken and new report provided?

DAM EMBANKMENT CHECKLIST


3. DAM CREST

N
O
T
A
P
P
L
I
C
A
B
L
E

N
O

Y
E
S

M
O
N
I
T
O
R

R
E
P
A
I
R

I
N
V
E
S
T
I
G
A
T
E

DAM INSPECTION REPORT

SID:

Page 2 of 6

INSPECTED BY:

INSPECTION DATE:

a. Settlements, slides, depressions?


b. Misalignment?
c. Longitudinal/Transverse cracking?
d. Animal burrows?
e. Adverse Vegetation?
f. Erosion?

4. UPSTREAM SLOPE
a. Erosion?
b. Inadequate ground cover?
c. Adverse vegetation?
d. Longitudinal/Transverse cracking?
e. Inadequate riprap?
f. Stone deterioration?
g. Settlements, slides, depressions, bulges?
h. Animal burrows?

5. DOWNSTREAM SLOPE
a. Erosion?
b. Inadequate ground cover?
c. Adverse vegetation?
d. Longitudinal/Transverse cracking?
e. Inadequate riprap?
f. Stone deterioration?
g. Settlements, slides, depressions, bulges?
h. Soft spots or boggy areas?
i. Movement at or beyond toe?
j. Animal burrows?

6. ABUTMENT CONTACTS
a. Erosion?
b. Differential movement?
c. Cracks?
d. Settlements, slides, depressions, bulges?
e. Seepage?

Est. Left ___ gpm;

Est. Right ___ gpm

f. Animal burrows?

7. SEEPAGE/PIPING CONTROL DESIGN FEATURE(S)


a. Describe:
b. Internal drains flowing?

Est. Left ___ gpm;

c. Seepage at or beyond toe?

Estimated ___ gpm

e. If so, does seepage contain fines?


d. Evidence of sand boils at or beyond toe?

Est. Right ___ gpm

N
/
A

N
O

Y
E
S

M
O
N.

R
E
P.

I
N
V.

DAM INSPECTION REPORT


INSPECTED BY:

Page 3 of 6

SID:
INSPECTION DATE:

OUTLET WORKS CHECKLIST


8. APPROACH CHANNEL
a. Describe:
b. Eroding or backcutting?
c. Sloughing?
d. Restricted by vegetation?
e. Obstructed with debris?
f. Silted in?

9. INLET STRUCTURE
a. Describe:
b. Seepage into structure?
c. Debris or obstructions?
d. If concrete, do surfaces show:
1. Spalling or Scaling?
2. Cracking?
3. Erosion?
4. Exposed reinforcement?
e. If metal, do surfaces show:
1. Corrosion?
2. Protective coating deficient?
3. Misalignment or split seams?
f. Do the joints show:
1. Displacement or offset?
2. Loss of joint material?
3. Leakage?
g. Are the trash racks:
1. Broken or bent?.
2. Corroded or rusted?
3. Obstructed?
h. Operator, gates and valves:
1. Describe:
2. Date(s) last operated:
3. Broken or bent?
4. Corroded or rusted?
5. Leaking?
6. Not seated properly?
7. Not operational?
8. Not periodically maintained?

10. CONDUIT
a. Describe:
b. Seepage into conduit?

N
/
A

N
O

Y
E
S

M
O
N.

R
E
P.

I
N
V.

DAM INSPECTION REPORT

Page 4 of 6

INSPECTED BY:

SID:
INSPECTION DATE:

c. Debris present?
d. If concrete, do surfaces show:
1. Spalling or scaling?
2. Cracking?
3. Erosion?
4. Exposed reinforcement?
e. If metal, do surfaces show:
1. Corrosion?
2. Protective coating deficient?
3. Misalignment or split seams?
f. Do the joints show:
1. Displacement or offset?
2. Loss of joint material?
3. Leakage?

11. STILLING BASIN / ENERGY DISSIPATOR


a. Describe:
b. Do surfaces show:
1. Spalling or Scaling?
2. Cracking?
3. Erosion?
4. Exposed reinforcement?
c. Do joints show:
1. Displacement or offset?
2. Loss of joint material?
3. Leakage?
d. Do energy dissipaters show:
1. Signs of deterioration?
2. Covered with debris?
3. Signs of inadequacy?

12. OUTLET CHANNEL


a. Describe:
b. Eroding or backcutting?
c. Sloughing?
d. Obstructions or restrictions?
e. Poorly riprapped?
f. Tailwater elevation and flow condition:

EMERGENCY SPILLWAY CHECKLIST


13. ENTRANCE CHANNEL
a. Describe
b. Eroding or backcutting?

N
/
A

N
O

Y
E
S

M
O
N.

R
E
P.

I
N
V.

DAM INSPECTION REPORT

Page 5 of 6

INSPECTED BY:
c. Sloughing?
d. Restricted by vegetation?
e. Obstructed with debris?
f. Silted in?

14. CONTROL SECTION


a. Describe:
b. If concrete, do surfaces show:
1. Spalling or Scaling?
2. Cracking?
3. Erosion?
4. Exposed reinforcement?
c. If concrete, do joints show:
1. Displacement or offset?
2. Loss of joint material?
3. Leakage?
f. If spillway is unlined:
1. Are slopes eroding?
2. Are slopes sloughing?
3. Is crest eroding?
g. Is the control structure (i.e. weir, sill, etc.) in poor condition?

15. DISCHARGE CHANNEL


a. Describe:
b. Obstructions or restrictions?
c. If concrete, do surfaces show:
1. Spalling or Scaling?
2. Cracking?
3. Erosion?
4. Exposed reinforcement?
d. If concrete, do joints show:
1. Displacement or offset?
2. Loss of joint material?
3. Leakage?
e. If spillway is unlined:
1. Are slopes eroding?
2. Are slopes sloughing?
3. Poorly protected w/ vegetation/riprap?

16. STILLING BASIN / ENERGY DISSIPATOR


a. Describe:
b. Do surfaces show:
1. Spalling or Scaling?
2. Cracking?

SID:
INSPECTION DATE:

N
/
A

N
O

Y
E
S

M
O
N.

R
E
P.

I
N
V.

DAM INSPECTION REPORT


INSPECTED BY:

SID:

Page 6 of 6

INSPECTION DATE:

3. Erosion?
4. Exposed reinforcement?
c. Do joints show:
1. Displacement or offset?
2. Loss of joint material?
3. Leakage?
d. Do energy dissipaters show:
1. Signs of deterioration?
2. Covered with debris?
3. Signs of inadequacy?

17. OUTLET CHANNEL


a. Eroding or backcutting?
b. Sloughing?
c. Obstructions or restrictions?

RESERVOIR CHECKLIST
18. RESERVOIR
a. High water marks?
b. Erosion/Slides into pool area?
c. Sediment accumulation?
d. Floating debris present?
e. Depressions, sinkholes or vortices?
f. Low ridges/saddles allowing overflow?
g. Structures below dam crest elevation?

ADDITIONAL COMMENTS AND RECOMMENDATIONS:

N
/
A

N
O

Y
E
S

M
O
N.

R
E
P.

I
N
V.

APPENDIX C
INSPECTION CHECKLIST

_____________________________

CASE 2: NEW JERSEY

_____________________________

Guidelines
for
Inspection of Existing Dams

New Jersey
Department of Environmental Protection
Dam Safety
Trenton, NJ 08625

March, 2004

Guide for the Inspection and Preparation of a Report


on the Condition of a Dam
New Jersey Dam Safety Inspection Program
State law relating to the construction, repair, modification, and inspection of existing and proposed dams has
been in existence since 1912. The law was amended in 1981 and cited as the Safe Dam Act, N.J.S.A. 58:4-1
et seq. The Dam Safety Standards N.J.A.C. 7:20-1 et seq. were promulgated in May 1985 and last readopted
in May 2000.
The New Jersey Dam Safety Program is implemented by the Department of Environmental Protection,
Division of Engineering and Construction, Dam Safety Section. The objective of the program is to protect
lives and property from the consequences of a dam failure or the improper release of impounded water. A
primary means of achieving this goal is through the maintenance and periodic inspection of in-service dams.
The New Jersey Dam Safety inspection program is intended to identify conditions that may adversely affect
the safety and functionality of a dam and its appurtenant structures; to note the extent of deterioration as a
basis for long term planning, periodic maintenance or immediate repair; to evaluate conformity with current
design and construction practices; and to determine the appropriateness of the existing hazard classification.
The professional engineer performing the inspection should, where appropriate, recommend subsequent
investigations required to resolve uncertain conditions and corrective measures to enable the dam to continue
to perform its intended functions. For Class I and Class II dams, all addresses, e-mail, and phone numbers
contained within the Emergency Action Plan must be verified and current. Inspection reports will be
deemed incomplete without this information.

Inspection Guidelines
The New Jersey Dam Safety inspection guidelines are designed to assist the dam owner to better understand
the requirements, responsibilities, and duties inherent with dam ownership and to assist the professional
engineer by providing a consistent approach to dam inspection and in-service evaluation.
Several different types of dam inspections can be performed. Dams and appurtenances should be inspected
regularly to identify conditions that may adversely affect the safety of a dam and its ability to perform
intended functions. An inspection may include the periodic evaluation of the as-built dam to insure
conformity with current design and construction practices.

Dam Classifications
The State of New Jersey recognizes four (4) classes of dams. Class I dams are those structures which,
should they fail, would likely cause loss of life. Class II dams are structures which, should they fail, would
likely cause substantial downstream property damage but are not considered to be a threat to life. Class III
dams are structures which would cause little or no downstream damage should they fail. Class IV dams are
structures which are less than 15 feet in height, impound less than 15 acre feet of water to the top of dam,
and drain less than 150 acres. No dam may be included in the Class IV category if failure of the dam could
cause downstream property damage or loss of life.

When Should Dams be Inspected


Class I and Class II dam owners are required to have a regular inspection performed every two years and a
formal inspection performed every six or ten years respectively. Class III and Class IV dam owners are
required to have a regular inspection performed every four years but are not normally required to perform
periodic formal inspections. On those years a formal inspection is performed, a regular inspection will not be
required. All dams over 70 feet in height or which can potentially store more than 10,000 acre feet of water,
regardless of hazard classification, are required to be inspected every year with a formal inspection conducted
every third year . All dam inspections shall be performed from March through December.

Types of Inspections
Formal Inspection - The inspection and performance evaluation of Class I and Class II dams under the
supervision of a qualified, New Jersey licensed professional engineer to review and determine the safety and
integrity of the dam and appurtenant structures. Formal inspections require a detailed field examination and
should include a thorough review of the records on project design, construction, and performance. Where
appropriate, a reanalysis employing advanced methods and modern design criteria and practices should be
conducted in order to determine if the structure meets current design criteria. In addition, formal inspections
require that the long-term behavioral patterns revealed by instrumentation and spillway discharges be closely
examined. Detailed underwater inspections should be included as needed. A Department approved
Emergency Action Plan and Operation and Maintenance Manual should be confirmed and their adequacy
determined. All addresses, e-mail, and phone numbers contained within the Emergency Action Plan must
be verified and current. Inspection reports will be deemed incomplete without this information Technical
experts and specialists may be required to evaluate individual features and conditions; however, a qualified
New Jersey licensed professional engineer must make the final coordinated evaluation. A review of prior
regular and formal inspection reports should be undertaken to evaluate trends in performance.
Regular Inspection - The visual inspection of a dam by a qualified, New Jersey licensed professional
engineer to detect any signs of deterioration in material, developing weaknesses or unsafe hydraulic or
structural behavior. For Class I and Class II dams, a Department approved Emergency Action Plan should be
confirmed and its adequacy determined. All addresses, e-mail, and phone numbers contained within the
Emergency Action Plan must be verified and current. Inspection reports will be deemed incomplete without
this information For all dams a Department approved Operation and Maintenance Manual should be
confirmed and its adequacy determined. All instrumentation data should be reviewed and evaluated.
Informal Inspection - The visual inspection of the dam by the dam owner or operator to detect apparent
signs of deterioration or other deficiencies of the dam structure or function. Informal inspections require that
personnel conducting the inspection be knowledgeable about the dam and its appurtenances.
Emergency Inspection - An emergency inspection is an unscheduled inspection of a dam and its
appurtenances necessitated by a potentially adverse natural event such as a large flood, earthquake, landslide
or when a condition develops that appears to immediately threaten the safety of the dam. An emergency
inspection is applicable to any hazard classification and requires immediate attention. Any required emergency
repairs resulting from the emergency inspection should be conducted in compliance with N.J.A.C. 7:20 - 1.4
(i).

Inspection Reports and Qualifications of Inspection Personnel


Formal and regular dam inspections must be performed by a qualified, professional engineer. The term
qualified engineer, as used in these standard guidelines is intended to mean an individual who:
1.

Is a licensed New Jersey professional engineer.

2.

Is competent in items related to dam investigation, design, construction, and operation for
the type of dam being inspected.

3.

Has at least 10 years of relevant experience in dam investigation, design, construction,


operation, and evaluation.

4.

Understands the effects of adverse dam incidents and failures and the potential cause of
failures.

The text of the report on the condition of a dam should be concise and provide all relevant dam and dam
related facts, findings, conclusions, analysis, recommendations, and data. For Class I and Class II dams, all
addresses, e-mail, and phone numbers contained within the Emergency Action Plan must be verified and
current. Inspection reports will be deemed incomplete without this information. In addition, each report
should contain clear, color photographs with each photograph indicating the date it was taken, the State dam
reference number, and the photograph location. The visual inspection checklist, provided by the Department,
should be completed and accompany all inspection reports. At the discretion of the Department, a completed
visual inspection checklist, together with relevant color photographs and a completed NJ Dam Safety
Compliance Schedule Form, will be considered the minimum information required for an acceptable
inspection report.
Inspection reports for Class I, Class II and Class III dams should be submitted to the Department within 30
days of the completion of the inspection. Reports for Class IV dams are to be submitted to the county and/or
municipality that has jurisdiction over the dam structure.
Informal inspections may be performed by the dam owner or operator and the resulting inspection report shall
be part of the owners or operators permanent file. Unless specifically requested, informal inspection reports
are not to be submitted to the Department. The Department may require the owner or operator of any dam to
perform an inspection of any type at any time.

VISUAL INSPECTION CHECKLIST


This general checklist should be used as an aid when examining all dams. This checklist may not, however,
include all features or conditions found at a specific dam that are relevant to the safety of that dam. All features
integral to the safety of the dam being examined should be inspected and their condition reported.

NJ INSPECTION YEAR:
TYPE OF INSPECTION: (formal, regular, informal):
DAM NAME:
DAM FILE NO.:
LOCATION:
OWNER:
OPERATOR:
DATE OF INSPECTION:
RESERVOIR INFORMATION
Normal Reservoir Elevation (ft):
Reservoir Elevation at time of inspection (ft):
WEATHER CONDITIONS (including recent rainfall):

INSPECTION PERSONNEL
New Jersey Licensed Professional Engineer(s):
Name

Affiliation

Area of Expertise

Affiliation

Area of Expertise

Non-Licensed technical expert(s) and advisor(s):


Name

State Representative(s):
Name

Affiliation

Dam Owner Representative(s):


Name

Affiliation

Others:
Name

Affiliation

GENERAL INFORMATION
Name of Dam:
Fed. I.D. No.

N.J. Dam No.:

River Basin:
Town:

County:

Block:

Lot:

Nearest Downstream City-Town:


Stream Name:

Tributary of:

Latitude (N):

Longitude (W):

Type of Dam:
Purpose of Dam:
Hazard Category:

Drainage Area (sqr mls):

Height (ft):

Length (ft):

Normal Surface (ac):

Normal Capacity (af):

Maximum Capacity (af):

Spillway Capacity (cfs):

HISTORY
Date Constructed:

Dates(s) Reconstructed:

Designer:

Constructed By:

Owner & Address:


Owner/Operator present during inspection (yes or no):
PREVIOUS INSPECTIONS (date of)
Last Inspection:

Last Regular Inspection:

Phase I Inspection:

Last Formal Inspection:

EMERGENCY ACTION PLAN (Required for all Class I and Class II dams)
Date of Approved Plan:
Date of Plan Revision:
Is the notification flowchart complete and current? (If the notification flow chart is not complete and current, all
modifications, corrections, and additions must be made and replacement pages submitted with this report)
Is inundation mapping or a description included?
Are emergency materials and equipment identified?
When was the plan last tested?

DOWNSTREAM HAZARD CLASSIFICATIONS


Present Hazard Classification:
Changes in Downstream Land Use and Habitation:
Is present classification appropriate?
OPERATION AND MAINTENANCE
Date of Operation and Maintenance Plan:
Are instructions adequate?
Do operating personnel follow instructions?
What are operating personnel capabilities?

EXAMINATION OF EMBANKMENT DAMS AND DIKES


DESCRIPTION OF STRUCTURE
Embankment Material:
Cutoff Type:
Impervious Core:
Internal Drainage System:
Movement (Horizontal and Vertical Alignment):
Junctions with Abutments or Embankments:
Miscellaneous:

CREST
Vertical Alignment:
Horizontal Alignment:
Surface Cracks:
Settlement:
Unusual Conditions:
UPSTREAM SLOPE
Slope (Estimate) (H:V):
Trees, Undesirable Growth or Debris, Animal Burrows:
Sloughing, Subsidence or Depressions:
Slope Protection:

Surface Cracks or Movement at Toe:


Unusual Conditions:
DOWNSTREAM SLOPE
Slope (Estimate) (H:V):
Trees, Undesirable Growth or Debris, Animal Burrows:
Sloughing, Subsidence or Depressions:
Surface Cracks or Movement at Toe:
Seepage:
External Drainage System (Ditches, Trenches, Blanket):
Condition Around Outlet Structure:
Unusual Conditions:
ABUTMENTS AND TOE AREA
Erosion at Contract:
Seepage or Wet Area Along Contract:
Signs of Movement:
Depressions, Sinkholes:
Unusual Conditions:

SEEPAGE AND TOE DRAIN / RELIEF WELL FLOW SUMMATION


Location

Estimated Flow

(Attach additional sheets for facilities with more than one embankment dam or dike)

Color (Turbidity)

EXAMINATION OF CONCRETE AND MASONRY DAMS


DESCRIPTION OF STRUCTURE
Type of Dam (Gravity, Arch, etc.):
Internal Drainage System:
Movement (Horizontal and Vertical Alignment):
Miscellaneous:
UPSTREAM FACE
Condition of Concrete or Masonry:
Cracking:
Location

Orientation

Length

Width

Type

Length

Width

Type

Length

Width

Type

Length

Width

Type

DOWNSTREAM FACE
Condition of Concrete or Masonry:
Cracking:
Location

Orientation

Leakage Through Dam (Location and Estimated Flow):

CREST
Condition of Concrete or Masonry:
Cracking
Location

Orientation

Signs of Movement:
Differential Movement (Joint or Crack Separation or Offset):

GALLERIES
Cracking
Location

Orientation

Differential Movement (Joint or Crack Separation):


Leakage into Galleries (Location and Estimated Flow):
Condition of Gallery Drains:

FOUNDATION
Condition of Rock or Concrete Lining:
Cracking:
Signs of Movement:
Seepage (Location and Estimated Flow):
ABUTMENTS AND TOE AREA
Seepage or Wet Areas:
Signs of Movement:
Cracking:
Erosion:
Unusual Conditions:
(Attach additional sheets for facilities with more than one concrete or masonry dam or dike)

EXAMINATION OF SPILLWAYS AND OUTLET WORKS


TYPE(S) AND DESCRIPTION OF SPILLWAY(S)
Primary:
Secondary (auxiliary):
Emergency:
Other:

FOR EACH SPILLWAY THE FOLLOWING ASPECTS MUST BE


EXAMINED WHERE APPROPRIATE
ENTRANCE CHANNEL
Description:
Vegetation (Trees, Bushes):
Debris:
Channel Side-Slope Stability:
Slope Protection/Erosion:
Unusual Conditions:
SPILLWAY CREST
Description:

Condition of Material:
Signs of Movement:
Joints:
Unusual Conditions:
DROP BOX
Description:
Condition of Material:
Signs of Movement:
Joints:
Floor:
Unusual Conditions:
SPILLWAY WING WALLS
Description:
Condition of Material:
Signs of Movement:
Joints:
Drains:
Unusual Conditions:
DOWNSTREAM APRON
Description:
Condition of Material:
Signs of Movement:
Unusual Conditions:
CULVERTS
Description:
Condition of Material:
Joints:
Signs of Movement:
Seepage:
Location

Unusual Conditions:

Estimated Flow

Turbidity

TRASH RACKS
Description:
Condition of Material:
Unusual Conditions:
CHUTES
Description:
Condition of Material:
Signs of Movement:
Unusual Conditions:
STILLING BASIN
Description:
Condition of Material:
Signs of Movement:
Erosion:
Unusual Conditions:
EXIT CHANNEL
Vegetation (Trees, Bushes):
Debris:
Channel Side-Slope Stability:
Erosion:
Unusual Conditions:
LOW LEVEL OUTLET
Description:
Condition:
Trash Rack:
Leakage:
Location

Unusual Conditions:
Was the low level outlet operated during the inspection?
Were there difficulties operating the low level outlet?

Estimated Flow

When was the low level outlet last operated and did this conform with the Operation and Maintenance procedures?
Miscellaneous:
STILLING BASIN FOR LOW LEVEL OUTLET
Description:
Condition of Material:
Signs of Movement:
Erosion:
Unusual Conditions:
EXIT CHANNEL FOR LOW LEVEL OUTLET
Description (Trees, Bushes):
Debris:
Channel Side-Slope Stability:
Slope Protection Erosion:
Unusual Conditions:

EXAMINATION OF OTHER FEATURES


INSTRUMENTATION (Monumentation/Surveys, Observation Wells, Weirs, Piezometers, Etc.) location, condition:

(A separate report including instrument readings, condition of instruments, observations, and conclusions based
upon the collected data should be attached.)

RESERVOIR
Slopes:
Sedimentation:
Unusual Conditions Which Affect Dam:
Unusual Conditions:

APPURTENANT STRUCTURES (Power House, Gatehouse, Penstocks, Water Supply, Other)


Description and Condition of each:

CONCLUSION
I certify that the above dam was personally inspected by me and was found to be in:
Safe

Unsafe condition (check one).

The following studies should be undertaken:

Hydrologic and Hydraulic analysis


Stability analysis
Failure/Inundation analysis
Other ________________
None

I recommend the following repairs be made immediately:

The following long term improvements should also be undertaken:

Have the recommendations above included those from the Phase I Inspection Report or previous Regular or Formal
Inspection Reports? If not, indicate why.

Does the Emergency Action Plan require revisions?


Do the Operation and Maintenance Procedures require revisions?

Has the NJ Dam Safety Compliance Schedule Form (attached) been completed? (This form must be completed or the
Inspection Report will be deemed incomplete.)

Name of Professional Engineering Company/Consultant Representing the Owner:

Company/Consultant Address:

Company/Consultant Telephone Number:

New Jersey Licensed Professional Engineer representing the dam owner in responsible charge of the inspection:

Sign ____________________________________________
_________________________________

Date

New Jersey Professional Engineer License Number____________________________________________

SEAL

New Jersey Dam Safety Compliance Schedule Form


Dam Name:

Owners Engineering Firm:


Owner: ____________________________
_________________________ Address: ___________________________ Name: ____________________________
Address: ___________________________ Address: __________________________
File No:
Address: ___________________________ Address: __________________________
Address: __________________________
Phone:
Phone: ___________________________
_____________________________
_________________________
Email:
The purpose of this form is to _____________________________
allow the dam owner, through consultation with
their engineer, to establish a time line for addressing the deficiencies identified in the inspection report for the dam and bringing the dam
into compliance with the New Jersey Dam Safety Standards, N.J.A.C. 7:20-1.1 et seq.

Proposed time frame for submission of required information and implementation of recommended repairs:
(Engineer should check required sections and propose appropriate time frames. However, the Dam Safety Section reserves the right to require additional dates and/or
information as needed.)

Performance of maintenance and repairs not requiring approval from the Dam Safety Section (Such work includes grass
mowing, brush removal, debris removal, filling of animal burrows, minor concrete repairs, minor gate repairs, filling of areas of
minor surface erosion, etc. The Dam Safety Section must be notified upon completion of these activities.)
Work to be completed no later than: ________________________________________________

Engineering Report / Studies (This work includes any required hydrologic and hydraulic analysis, structural analysis,
alternative analysis, geotechnical investigations or dam breach analysis that may be recommended by your engineer and/or
required by the Dam Safety Section.)
Studies to be submitted for review no later than: ________________________________________________

Permit Application: (A permit application must be submitted for any construction activity at the dam. The permit application
must address all deficiencies as identified in the inspection report and the subsequent engineering report / studies.)
Permit application to be submitted no later than ________________________ months after the date of the Dam Safety
Sections approval of any required studies. (Please provide date if no studies are required.)

q
q

Construction to start no later than __________________________ months after the date of issuance of the permit by the
Dam Safety Section.
Operation and Maintenance Plan (O&M): (An O&M is required for all dams. O&Ms should be submitted with the permit
application or sooner if possible. Existing O&Ms may need to be updated if a dam is being rehabilitated. Please indicate if an
O&M has already been submitted and approved.)
O&M to be submitted no later than: ______________________________________________

Emergency Action Plan (EAP): (EAPs are required for all high and significant hazard dams and should be submitted as soon
as possible. Existing EAPs should be reviewed on a yearly basis and revised as necessary. Please indicate if an EAP has
already been submitted and approved.)
EAP to be submitted no later than: ________________________________________________

The dates provided above will be reviewed by the Dam Safety Section to determine if the schedule is acceptable to achieve compliance
with the Dam Safety Standards. Requests for extensions to the accepted time frames outlined above must be submitted to this office in
writing along with appropriate justification and will be considered on its merits on a case by case basis.
__________________________________ ____________
__________________________________ ____________
Signed: Dam Owner
Date
Signed: Owners Engineer
Date
Additional information including Dam Safety Section forms, standards and inspection guidelines as well and EAP guidelines and a sample
O&M is available at http://www.state.nj.us/dep/damsafety or contact this office via e-mail at Damsafety@dep.state.nj.us or telephone at
(609)984-0859. Please submit the completed form to: NJDEP, Dam Safety Section, P.O. Box 419, Trenton, NJ 08625

APPENDIX C
INSPECTION CHECKLIST

_____________________________

CASE 3: COLORADO

_____________________________

APPENDIX C
INSPECTION CHECKLIST

_____________________________

CASE 4: PENNSYLVANIA

_____________________________

Fact Sheet

Commonwealth of Pennsylvania Department of Environmental Protection

DAM INSPECTIONS BY OWNERS


Although all Hazard Potential Category 1 or 2 (i.e., High Hazard) dams must be inspected annually by a
registered professional engineer, dam owners in Pennsylvania are required to inspect their dam(s) at least once
every three months. A manual entitled The Inspection, Maintenance and Operation of Dams in Pennsylvania is
available upon request from the Division of Dam Safety.

The Inspection
It is helpful to prepare an inspection route in
advance to assure that every part of the dam will be
observed.
The following is a recommended
sequence to assist you in your inspection:
CREST - Walk across the crest from abutment to
abutment.
UPSTREAM/DOWNSTREAM SLOPE - Walk across
the slope in an up and down or zigzag pattern from
abutment to abutment.
EMBANKMENT-ABUTMENT CONTACTS - Walk
the entire length of the embankment-abutment
contacts (groin).
OUTLET CONDUIT - Observe
features of the outlet conduit.

all

accessible

SPILLWAY - Walk along the entire length of the


spillway in a back and forth manner.
ABUTMENTS - Traverse abutments in a practical
manner so as to gain a general feel for the
conditions which exist along the valley sidewalls.
DOWNSTREAM CHANNEL - Travel the route of the
stream below the dam to maintain familiarity with
locations of residences and property which can be
affected by dam failure.
DOWNSTREAM TOE - Walk the entire length of the
downstream toe.
RESERVOIR SLOPES - Scout the reservoir
perimeter in an effort to develop an overall familiarity
with its conditions.

What To Look For


The following is a partial list of some of the conditions a dam owner may discover. This list does
not cover all of the problems which may be encountered.
SETTLEMENT

STRUCTURAL CRACKING

EROSION

SINKHOLES

ANIMAL BURROWS

DEPRESSIONS

SEEPS

EXCESSIVE VEGETATION

BOILS

TURBID DISCHARGE

FOUNDATION MOVEMENT

VANDALISM

Keeping Records
It is important for the dam owner/operator to keep
records throughout the existence of the dam.
Accurate
records
can
better
illustrate the dynamic nature of the
structure.

items during the course of a dam inspection. This


may include measurements of seepage rates,
spillway discharge rates, settlement, and for some
dam owners, readings from instruments such as
piezometers. It is important that this data also be
compiled in a systematic manner and placed in a
permanent file.

DEP requires the dam owner to


establish a permanent file to retain
inspection records including records of actions taken
to correct conditions found in such inspections. The
following items will aid the dam owner/operator in
keeping good records.
Inspection Checklist - A convenient way of
compiling inspection observations is by recording
them directly onto an inspection checklist. The
checklist should be attached to a clipboard and
carried by the dam inspector as he/she traverses the
entire structure. Copies of the checklist can be
obtained by contacting DEP.
A good practice to follow along with filling out the
inspection checklist is to draw a field sketch of
observed conditions. The field sketch is intended to
supplement the information recorded on the
inspection checklist, however, it should never be
used as a substitute for clear and concise inspection
checklists.
Photographs - Inspection photographs can be
vitally important. Over time, photographs serve to
provide a pictorial history of the evolving
characteristics of a dam. The dam owner/operator
often finds them to be great money savers because
they can illustrate that some observed conditions
(seepage, foundation movement, etc.) have existed
for many years and may have reached a state of
equilibrium.
With this knowledge, quick and
economical remedial actions can be developed and
implemented. Photographs should be dated on the
back and provided with brief descriptions of the
locations shown in the pictures.

Accompany Your Engineer During Annual


Inspections
Many engineers encourage dam owners or
operators to accompany them, or even assist them,
on annual dam inspections. Also, many owners
accompany department engineers during our
periodic inspections. Owners can learn many things
from experienced inspectors such as:
-

What to look for;


How to photograph certain features of a dam;
What records to keep; and
How to read different types of instrumentation.

For more information contact:


Department of Environmental Protection
Bureau of Waterways Engineering
Division of Dam Safety
P.O. Box 8554
Harrisburg, PA 17105-8554
(717) 787-8568

For more information, visit DEPs Web site at


www.depweb.state.pa.us, Keyword: Dam Safety.

Monitoring Data - As previously indicated, it may


become necessary to make measurements of
various

Commonwealth of Pennsylvania
Edward G. Rendell, Governor
An Equal Opportunity Employer

Department of Environmental Protection


Kathleen A. McGinty, Secretary
3140-FS-DEP1902 Rev. 5/2006

APPENDIX D
PENALTIES FOR VIOLATIONS

_____________________________

CASE 1: PENNSYLVANIA

_____________________________

APPENDIX D
PENALTIES FOR VIOLATIONS
CASE 1 : PENNSYLVANIA
Section 19. Civil Remedies.
(a) Any activity or condition declared by this act to be unlawful conduct
shall be restrained or prevented in the manner provided by law or equity for
abatement of public nuisances, and the expense thereof shall be recoverable
from the violate in such manner as may now or hereafter be provided by law.
(b) In addition, suits to restrain or prevent any unlawful conduct as defined
in this act or to compel action to discontinue any unlawful conduct may be
instituted in equity or at law in the name of the Commonwealth upon relation of
the Attorney General, or upon relation of any district attorney of any county or
upon relation of the solicitor of any municipality affected after 30 days notice has
first been served upon the Attorney General of the intention of the district
attorney or solicitor to proceed. Such proceedings may be prosecuted in the
Commonwealth Court, or in the court of common pleas of the county where the
activity has taken place, the dam, water obstruction or encroachment is
maintained or the public is affected, and to that end jurisdiction is hereby
conferred in law and equity upon such courts: Provided, That except in cases of
emergency where, in the opinion of the court, the exigencies of the cases require
immediate abatement of said unlawful conduct, the court may, in its decree, fix a
reasonable time during which the person responsible for the unlawful conduct
may make provision of the same. The expense of such proceedings shall be
recoverable from the violator in such manner as may now or hereafter be
provided by law.
Section 20. Enforcement Orders.
(a) The Department may issue such orders as are necessary to aid in the
enforcement of the provisions of this act. Such orders shall include, but shall not
be limited to, orders modifying, suspending or revoking permits and orders
requiring persons to cease any activity which is in violation of the provisions of
this act. Such an order may be issued if the Department finds that a person is in
violation of any provision of this act, or any rule or regulation issued hereunder.
The Department may, in its order, require compliance with such terms and
conditions as are necessary to effect the purposes of this act.
(b) An order issued under this section shall take effect upon notice, unless
the order specifies otherwise.
(c) Any person violating or failing to comply with any order of the
Department from which no appeal has been taken or which has been sustained
on appeal, or which has been appealed but where no supersedeas has been

granted for the period in which the order has been violated shall be deemed to be
in contempt of such order. Upon petition and certification of such order by the
Department or the hearing board, the Commonwealth Court or the court of
common place of the county where the unlawful conduct occurred or is occurring,
shall, if it finds, after hearing or otherwise, that the respondent is not in
compliance with the order, adjudge the respondent in contempt of the order and
shall assess civil penalties of an amount not less than $100 nor greater than
$10,000 per violation plus $500 or each continuing day of violation. Where the
respondent has not as of the date of hearing before the court complied with the
order of the Department or board, the court shall specifically order the
respondent to immediately and fully comply with such order, and may issue any
further order as, may be appropriate.
(d) The right of the Department to issue an order under this section is in
addition to any penalty which may be imposed or any action taken pursuant to
this act. The failure to comply with any such order is hereby declared to be
unlawful conduct and a nuisance.
Section 21. Civil Penalties.
(a) In addition to proceeding under any other remedy available at law or
equity for :
(1) a violation of a provision of this act or any rule or regulation
issued hereunder;
(2) a violation of any order of the Department ; or
(3) engaging in any unlawful conduct of the provisions of this act
the hearing board, in an action instituted before it by the Department, may
assess a civil penalty upon any person for such violation or unlawful
conduct. Such a penalty may be assessed whether or not the violation
was willful. The civil penalty so assessed shall not exceed $10,000, plus
$500 for each day of continued violation. In determining the amount of the
civil penalty, the board shall consider the willfulness of the violation,
damage or injury to the stream regimen and downstream areas of the
Commonwealth, cost of restoration, the cost to the Commonwealth of
enforcing the provisions of the act against such person, and other relevant
factors. The assessment of the civil penalty shall be made after hearing,
unless hearing is specifically waived by the respondent.
(b) Civil penalties shall be payable to the Commonwealth and shall be
collectible in any manner provided by law for the collection of debts. If any person
liable to pay any such penalty neglects or refuses to pay the same after demand,
the amount, together with interest and any costs that may accrue, shall be a lien
in favor of the Commonwealth upon the property, both real and personal, of such

person but only after the amount of the lien has been entered and docketed of
record by prothonotary of the county where the property is situated. The board
may, at any time, transmit to the protonotaries of the respective counties certified
copies of all such liens, and it shall be the duty of each prothonotary to enter and
docket the same of record in his office, and to index the same as judgments are
indexed, without requiring the payment of costs as a condition precedent to the
entry thereof.
(c) Any officer of any corporation, association, municipality or county, who
knowingly, willfully, recklessly or with gross negligence engages in or authorizes
unlawful conduct as defined in this act shall be subject to the imposition upon
civil penalties in accordance with subsection (a). Any civil penalty imposed upon
such officer shall be in addition to and separate from any civil penalty imposed
upon the corporation, association, municipality or county. Nothing in this
subsection shall be construed to affect the liability or duty of any officer of a
corporation, association, municipality or county for the purposes of criminal
penalties imposed under this act, or for the purposes of any other rights or
remedies now or hereafter existing or herein provided.
Section 22. Criminal Penalties.
(a) Any person who engages in unlawful conduct as defined in this act is
guilty of a summary offense and, upon conviction, shall be sentenced to pay a
fine of not less than $100 nor more than $1,000 for each separate offense, and,
in default of the payment of such fine, to imprisonment for a period of not more
than 60 days.
(b) Any person who, within two years after a conviction in a summary
proceeding as provided in subsection (a) engages in unlawful conduct as defined
in this act is guilty of a misdemeanor of the third degree and, upon conviction,
shall be sentenced to pay a fine of not less than $500 nor more than $5,000 for
each separate offense or to imprisonment for a period of not more than one year,
or both.
(c) Each day of continued violation of any provision of this act or any rule
or regulation or order of the Department issued pursuant to this act shall
constitute a separate offense under subsections (a) and (b). Some states may
find it advisable to add a provision for injunctive relief (i .e ., a court order to
repair or breach a dam).
Section 23. Summary proceedings.
All summary proceedings under the provisions of this act may be brought before
any magistrate, alderman, or justice of the peace of the county where the
unlawful conduct has occurred or the dam, water obstruction or encroachment is
maintained, or the public affected, and to that end jurisdiction is hereby conferred

upon said magistrates, aldermen or justices of the peace, subject to appeal by


either party in the manner provided by law. In the case of any appeal from any
such conviction in the manner provided by law for appeals from summary
conviction, it shall be the duty of the district attorney of the county to represent
the interests of the Commonwealth.
Section 24. Administrative and judicial review.
(a) Any person who shall be aggrieved by any action of the Department
under this act shall have the right within 30 days of receipt of notice of such
action to appeal to the Environmental Hearing Board. Any appeal of a general
permit issued pursuant to section 7 shall be filed within 30 days of the date of
publication of the general permit in the Pennsylvania Bulletin. Hearings under this
subsection any subsequent appeal shall be in accordance with section 1921 (a)
of the act of April 9, 1929 (P .L . 177, No . 175), known as " The Administrative
Code of 1929", and the " Administrative Agency Law".
(b) An appeal to the hearing board of any action of the Department shall
not act as a supersedeas. A supersedeas may be granted by the hearing board
upon a showing by the petitioner:
(1) the irreparable harm to the petitioner or other interested parties
will result if the supersedeas is denied;
(2) that there is a likelihood of the petitioner's success on the
merits; and
(3) that the grant of a supersedeas will not result in irreparable
harm to the Commonwealth. The board may grant such a supersedeas
subject to such security as it may deem proper.
Section 25. Preservation of existing rights and remedies.
The collection of any penalty under the provisions of this act shall not be
construed as estopping the Commonwealth, or any district attorney or solicitor of
a municipality, from proceeding in courts of law or equity to abate conduct
forbidden under this act, or abate nuisances under existing law. It is hereby
declared to be the purpose of this act to provide additional and cumulative
remedies to abate unsafe dams, water obstructions or encroachments in this
Commonwealth, and nothing in this act shall in any way abridge or alter rights of
action or remedies now or hereafter existing in equity, or under the common law
or statutory law, criminal or civil, nor shall any provision in this act, or the granting
of any permit under this act, or any act done by virtue of this act, be construed as
estopping the Commonwealth, persons or municipalities, in the exercise of their
rights under the common law or decisional law or in equity, from proceeding in

courts of law or equity to suppress nuisances, or to abate any unsafe dam now or
hereafter existing, or enforce common law or statutory rights.
The division of penalties into several categories reflects the fact that in most
cases penalties that follow violations will be different according to not only
severity but also nature. That is, it should be possible to distinguish between civil
violations and criminal violations of the law.

APPENDIX D
PENALTIES FOR VIOLATIONS

_____________________________

CASE 2: CALIFORNIA

_____________________________

Appendix D - Penalties for Violations


CASE 2: CALIFORNIA
Offenses and Punishment
(California 1995)
6425. Every person who violates any of the provisions of this part or of any
approval, order, rule, regulation, or requirement of the department is guilty of a
misdemeanor and punishable by a fine of not more than two thousand dollars
($2, 000) or by imprisonment in the county jail not exceeding six months, or both.
In the event of a continuing violation, each day that the violation continues
constitutes a separate and distinct offense.
6426 . Any person who willfully obstructs, hinders, or prevents the department or
its agents or employees from performing the duties imposed by this part or who
willfully resists the exercise of the control and supervision conferred by this part
upon the department or its agents or employees is guilty of a misdemeanor and
punishable as provided in this article.
6427 . Any owner or any person acting as a director, officer, agent, or employee
of an owner, or any contractor or agent or employee of a contractor who engages
in the construction, enlargement, repair, alteration, maintenance, or removal of
any dam or reservoir, who knowingly does work or permits work to be executed
on the dam or reservoir without an approval or in violation of or contrary to any
approval as provided for in this part or any inspector, agent, or employee of the
department who has knowledge of such work being done and who fails to
immediately notify the department thereof is guilty of a misdemeanor and
punishable as provided in this article.
6428 . Any owner who fails to pay any annual fee or any part of any annual fee
required to be paid pursuant to Section 6307 within the time required shall pay a
penalty of 10 percent of the annual fee or part of the annual fee, plus interest at
the rate of one-half of 1 percent per month, or fraction thereof, from the date on
which the annual fee or the part of the annual fee became due and payable to
the state until the date of payment.

APPENDIX D
PENALTIES FOR VIOLATIONS

_____________________________

CASE 3: NORTH CAROLINA

_____________________________

Appendix D - Penalties for Violations


CASE 3: NORTH CAROLINA
(North Carolina 1994)
143-215 .36. Enforcement procedures.
(a) Criminal Penalties.
Any person who shall be adjudged to have violated this Article shall be
guilty of a Class 3 misdemeanor and shall only be liable to a penalty of not less
than one hundred dollars ($100 .00) nor more than one thousand dollars ($1,000)
for each violation. In addition, if any person is adjudged to have committed such
violation willfully, the court may determine that each day during which such
violation continued constitutes a separate violation subject to the foregoing
penalty.
(b) Civil Penalties.
(1) The Secretary may assess a civil penalty of not less than one
hundred dollars ($100 .00) nor more than five hundred dollars ($500 .00)
against any person who violates any provisions of this Part, a rule
implementing this Part, or an order issued under this Part.
(2) If any action or failure to act for which a penalty may be
assessed under this Part is willful, the Secretary may assess a penalty not
to exceed five hundred dollars ($500 .00) per day for each day of violation.
(3) In determining the amount of the penalty, the Secretary shall
consider the factors set out in G .S . 143B-282 .1(b). The procedures set
out in G .S . 143B-282 .1 shall apply to civil penalty assessments that are
presented to the Commission for final agency decision.
(4) The Secretary shall notify any person assessed a civil penalty of
the assessment and the specific reasons therefor by registered or certified
mail, or by any means authorized by G .S . 1A-1, Rule 4. Contested case
petitions shall be filed in accordance with G .S .150B-23 within 30 days of
receipt of the notice of assessment.
(5) Requests for remission of civil penalties shall be filed with the
Secretary. Remission requests shall not be considered unless made within
30 days of receipt of the notice of assessment. Remission requests must
be accompanied by a waiver of the right to a contested case hearing
pursuant to Chapter 150B and a stipulation of the facts on which the

assessment was based. Consistent with the limitations in G .S . 143B-282


.1(c) and G .S. 143-282 .1(d), remission requests may be resolved by the
Secretary and the violator. If the Secretary and the violator are unable to
resolve the request, the Secretary shall deliver remission requests and his
recommended action to the Committee on Civil Penalty Remissions of the
Environmental Management Commission appointed pursuant to G .S .
143B-282 .1(c).
(6) If any civil penalty has not been paid within 30 days after notice
of assessment has been served on the violator, the Secretary shall
request the Attorney General to institute a civil action in the Superior Court
of any county in which the violator resides or has his or its principal place
of business to recover the amount of the assessment, unless the violator
contests the assessment as provided in subdivision (4) of this subsection.
If any civil penalty has not been paid within 30 days after the final agency
decision or court order has been served on the violator, the Secretary
shall request the Attorney General to institute a civil action in the Superior
Court of any county in which the violator resides or has his or its principal
place of business to recover the amount of the assessment. A civil action
shall be filed within three years of the date the final agency decision was
served on the violator.
(7) The Secretary may delegate his powers and duties under this
section to the Director of the Division of Land Resources of the
Department.
(c) Injunctive Relief. - Upon violation of any of the provisions of this Part, a rule
implementing this Part, or an order issued under this Part, the Secretary may,
either before or after the institution of proceedings for the collection of the penalty
imposed by this Part for such violations, request the Attorney General to institute
a civil action in the superior court of the county or counties where the violation
occurred in the name of the State upon the relation of the Department for
injunctive relief to restrain the violation or require corrective action, and for such
other or further relief in the premises as said court shall deem proper. Neither the
institution of the action nor any of the proceedings thereon shall relieve any
party to such proceedings from the penalty prescribed by this Part for any
violation of the same. (1967, c . 1068, s . 14 ; 1973, c . 1262, s . 23 ; 1975, c .
842, s . 3 ; 1977, c . 771, s . 4 ; 1987, c . 827, ss . 154, 180 ; 1989 (Reg . Sess.,
1990), c . 1036, s . 5 ; 1991, c . 342, ss . 10, 11 ; 1993, c . 394, s . 9 ; c . 539, s .
1021 ; 1994, Ex . Sess ., c . 24, s . 14(c) .)

APPENDIX E
EMERGENCY ACTION PLANS

_____________________________

_____________________________

EAP Reviewers Checklist


Page 1 of 2
1. General Document Items
Is the name of the dam clearly labeled in large letters on the binder?
Is the document a controlled document, including the names, titles, and addresses of
all plan holders?
Are the roles and responsibilities of key emergency personnel clearly documented,
preferably at the beginning of the document?
Is there an up-to-date revision sheet provided near the beginning of the document?
Are revision numbers and revision dates provided as footers on each page of the
document?
2. Detection Items
Are detection and/or early warning systems at the dam clearly described, including
dam operators observations, instrumentation systems, and observations by the
general public?
3. Decision Making Items
Are the emergency event levels clearly described?
Are there clear guidelines and decision criteria to help the dam owner determine the
appropriate emergency event level for potential unusual and emergency conditions
that could occur at the dam?
4. Notification and Communication Items
Are primary and back-up communication systems among the dam owner, local
emergency responders, and other key stakeholders described in the document?
Are the notification flow charts complete and logical?
Are phone numbers, after-hours phone numbers, and back-up personnel listed on
the notification flow charts?
Do the notification flow charts include contacts to provide timely engineering
support?
Do the notification flow charts include contacts for timely notification of local
emergency management organizations for the more serious emergency event
levels?
Do the notification flow charts minimize the number of calls that the dam operators
are required to make, so that they can focus on implementing preventative actions?
5. Pre-planned Action Items
Are there descriptions of recommended pre-planned actions for potential unusual
and emergency conditions at the dam?
Is a list of locally available engineering, labor, materials, and equipment resources
that can be referenced in an emergency?
Has the contact information for the locally available resources been recently updated
or verified?

EAP Reviewers Checklist


Page 2 of 2
6. Termination and Follow-up Items
Does the document describe who has the authority to terminate emergency
operations?
Are the procedures for terminating emergency operations clearly described in the
document?
Does the document have guidance on follow-up responsibilities after the emergency
is terminated?
7. Inundation Mapping
Does the inundation map include a north arrow and a bar scale?
Are the inundation areas clearly delineated and labeled. This is especially important
if there are sunny day failure and PMF plus breach inundation limits shown on the
inundation maps?
Does the inundation map include a qualification stating that the inundation limits for
an actual dam failure may vary in some ways from what is shown on the inundation
map?
Are locals roads, drainages, and other landmarks clearly labeled on the basemap?
Is the downstream limit of the inundation mapping logical (e.g. at a major reservoir,
river, or other water course)?
Were channel cross sections taken at critical downstream locations, such as at
major road crossings, schools, major population centers, etc.?
Is the following flood inundation information provided at important downstream cross
sections:
Peak flood stage
Floodwave arrival time
Maximum water surface elevation
Peak discharge
8. Other Items
Are there clear procedures for testing and updating the document provided in the
document?
Is the frequency of testing and updating the document clearly described?
Is the person or position responsible for updating the document indicated in the
document along with updated contact information for that person?
Are the process for training personnel in how to use the document and the frequency
and responsibility for this training clearly described in the document?
Are key hydrologic/hydraulic data, such as spillway and outlet discharge curves and
reservoir area capacity curves, provided in the document?
Does the document include a general location map that shows where the dam is
located relative to other key local roads, drainages, and population centers?

Summary of EAP State Guidelines


From ASDSO tech seminar: EAP
for Dam Safety (2006) Presented
by J.France, S.Jamieson, &
G.Batchelder Adams

Does the state


have the
authority to
require EAPs?

State Regulated
High Hazard Dams

State Regulated
Significant Hazard
Dams

No.

EAPs

No.

EAPs

Format

Midwest
IA

Iowa

Yes

75

176

Guidelines not specific to dams

IL

Illinois

Yes

185

143

287

109

None Found

IN

Indiana

Yes

242

16

225

Guidelines

MI

Michigan

Yes

80

79

137

133

DEQ has a set of guidelines and


suggests use of FEMA format.

MN

Minnesota

Yes

23

23

155

None Found

MO

Missouri

Yes

239

210

None Found

NE

Nebraska

Yes

101

97

245

Guidelines

OH

Ohio

Yes

401

137

556

106

Recommendation

WI

Wisconsin

Yes

62

35

12

11

Sample

Regional Totals

1408

530

2003

368

Northeast

Page 1

Summary of EAP State Guidelines


From ASDSO tech seminar: EAP
for Dam Safety (2006) Presented
by J.France, S.Jamieson, &
G.Batchelder Adams

Does the state


have the
authority to
require EAPs?

State Regulated
High Hazard Dams

State Regulated
Significant Hazard
Dams

No.

EAPs

No.

EAPs

Format

CT

Connecticut

Yes

227

160

198

159

Should follow guidelines


established by the commissioner

DE

Delaware

No

11

None Found

MA Massachusetts

Yes

334

95

743

54

Emergency action plans must


follow one of the examples
furnished by the Department

MD

Maryland

No

66

58

84

38

Guidelines

ME

Maine

Yes

26

25

66

39

Emergency plans must follow a


model plan supplied by the
department

NH New Hampshire

Yes

89

87

193

140

Guidelines

NJ

New Jersey

Yes

203

193

364

232

Yes

NY

New York

Yes

384

202

757

53

Guidelines/ FEMA-64

Page 2

Summary of EAP State Guidelines


From ASDSO tech seminar: EAP
for Dam Safety (2006) Presented
by J.France, S.Jamieson, &
G.Batchelder Adams

Does the state


have the
authority to
require EAPs?

State Regulated
High Hazard Dams

State Regulated
Significant Hazard
Dams

No.

EAPs

No.

EAPs

Format

PA

Pennsylvania

Yes

787

377

262

45

Guidelines

RI

Rhode Island

Yes

16

unknown

41

unknown

VT

Vermont

No
Regional Totals

52
2195

1200

134
2842

760

Blanket Procedure

Southeast
AL

Alabama

Yes

172

421

None Found

AR

Arkansas

Yes

103

92

94

Guidelines

FL

Florida

99

99

259

220

None Found

GA

Georgia

372

15

None Found

KY

Kentucky

No

157

192

FEMA 64, Federal Guidelines for


Dam Safety: Emergency Action
Planning for Dam Owners

LA

Louisiana

11

46

None Found

MS

Mississippi

Yes

273

14

72

FEMA 64, Federal Guidelines for


Dam Safety: Emergency Action
Planning for Dam Owners

NC

North Carolina

Yes

1006

202

657

26

None Found

Page 3

Summary of EAP State Guidelines


From ASDSO tech seminar: EAP
for Dam Safety (2006) Presented
by J.France, S.Jamieson, &
G.Batchelder Adams

Does the state


have the
authority to
require EAPs?

State Regulated
High Hazard Dams

State Regulated
Significant Hazard
Dams

No.

EAPs

No.

EAPs

Format

SC

South Carolina

Yes

148

137

458

410

None Found

TN

Tennessee

Yes

148

148

200

Guidelines

VA

Virginia

Yes

124

124

166

163

Form

WV

West Virginia

Yes

245

148

65

Example

Regional Totals

2858

984

2630

827

West
AK

Alaska

Yes

15

29

State and Federal Guidelines

AZ

Arizona

Yes

88

66

51

38

Guidelines

CA

California

Yes

395

176

530

87

None Found

CO

Colorado

Yes

264

262

292

287

Rule 16, Model

HI

Hawaii

Yes

76

45

21

10

None Found

ID

Idaho

Yes

105

101

150

38

None Found

Page 4

Summary of EAP State Guidelines


From ASDSO tech seminar: EAP
for Dam Safety (2006) Presented
by J.France, S.Jamieson, &
G.Batchelder Adams

KS

Kansas

Does the state


have the
authority to
require EAPs?

Yes

State Regulated
High Hazard Dams

State Regulated
Significant Hazard
Dams

Format

No.

EAPs

No.

EAPs

193

135

257

14

None Found

MT

Montana

Yes

97

95

126

Administrative Rules dictate what


should be contained in EAP.
Refer to:
http://www.dnrc.mt.gov/wrd/water
_op/dam_safety/damsafetyrules.a
sp#36.14.406

ND

North Dakota

Yes

28

12

92

Some Suggestions

NM

New Mexico

Yes

172

12

91

NV

Nevada

Yes

135

91

103

OK

Oklahoma

Yes

165

124

78

Page 5

Format similar to the NRCS


model
FEMA 64, Federal Guidelines for
Dam Safety: Emergency Action
Planning for Dam Owners
None Found

Summary of EAP State Guidelines


From ASDSO tech seminar: EAP
for Dam Safety (2006) Presented
by J.France, S.Jamieson, &
G.Batchelder Adams

Does the state


have the
authority to
require EAPs?

State Regulated
High Hazard Dams

State Regulated
Significant Hazard
Dams

No.

EAPs

No.

EAPs

Format

OR

Oregon

No

122

59

181

10

SD

South Dakota

Yes

47

31

144

None Found

TX

Texas

Yes

835

96

809

12

None Found

UT

Utah

Yes

185

103

200

Suggestions

WA

Washington

Yes

144

113

189

58

Form

WY

Wyoming

83

33

110

Page 6

Summary of EAP State Guidelines


Reviewed/Updated by
State Dam Safety Officials
Prior to EAP Training
Course

Notes

The Department has the authority to implement a program for the protection of life and property from
floods and to promote the orderly development and wise use of the flood plains of the state. There are no
direct references to emergency action plans in Iowas laws or regulations.
The Department of Natural Resources is authorized by law to...establish standards, and issue permits for
the safe construction, reconstruction, repair, operation, and maintenance of dams.
Indiana has only situational authority to require EAPs. There is no state statute giving them authority to
require EAPs.
Owners of high and significant hazard potential dams are required to have an emergency action plan
submitted to the department and to the local emergency services coordinator. (Sec. 31523)
The rules require owners of Class I dams to file EAPs. The rules list items that need to be included in an
EAP. Only 18 EAPs found in the states files. Some contacts have been made to urge EAP updates.

YES
YES

YES

YES

Emergency action plans are required by regulation (10 CSR 22-3.030(1)(B) and 3.040(1)(A)15).

YES

Emergency procedures are clearly stated in the Guide for Preparing Emergency Preparedness Plans for
Dams and Reservoirs. Emergency Preparedness Plans are required for all high hazard dams and some
significant hazard dams. EPPs are required per the Rules Chapter 12-005. New Safety of Dams and
Reservoirs Act went into effect on September 4, 2005. Section 46-1647 requires "the owner of every high
hazard potential dam shall develop and periodically test and update an emergency action plan to be
implemented in the event of an emergency involving such dam. In order to protect life and property, the
department may require the owners of any significant hazard potential dam to develop and periodically
test and update an emergency action plan to be implemented in the event of an emergency involving such
dams." Codification of new law available from the Nebraska DNR.

YES

In accordance with Ohio Administrative Code Rules 1501:21-15-07, an emergency action plan is
required for all class I, II and III structures.

YES

Wisconsin regulations require the following for the approval of permits:...documentation and approval of
safety requirements, including an emergency action plan (Chapter NR 333.07)

YES

Page 7

Summary of EAP State Guidelines


Reviewed/Updated by
State Dam Safety Officials
Prior to EAP Training
Course

Notes

YES
There is currently rules and regulations being developed that will require EAPs for certain classifications of
dams, and that will provide guidelines and requirements for EAPs. These rules are scheduled to be
promulagated in 2007.
The Department of Conservation and Recreation is authorized to supervise the construction, alteration,
repair, removal, enlargement, and emergency action plans of jurisdictional dams in Massachusetts.All
proposed dams which would be classified as Significant Hazard Class are also required to have an EAP.
The laws and regulations do not explicitly state that the owner of an existing dam must have an
"Emergency Action Plan" Permits for new dams or repairs to existing ones require EAP for high and
significant hazard dams.
Maine State Law MRSA 37B Chapter 24 states 1127. Emergency action plans
Within 6 months after the determination of classification, the owner of a dam under the commissioner's
jurisdiction that is classified as high or significant hazard potential shall prepare an emergency action plan,
which must be updated every 2 years. Such emergency action plans must be reviewed for adequacy by
the department. All emergency action plans must be available and on file at the appropriate local and
county government offices and at the department.

YES

YES

YES

Only 146 of the 193 Significant Hazard dams require an EAP. All high hazard dams and most significant
hazard dams are required to have an Emergency Action Plan. Some dams which are classified as
Signifcant Hazard solely because they impound public water supplies or contain waste (such as
commercial waste or sewage) are exempted from the EAP requirement. EAPs must prepared in
accordance with the provisions of Part Env-Wr 500 of the regulations, Guidelines for the Development of
an Emergency Action Plan.

YES

Powers and duties of the Department of Environmental Protection are also detailed in N.J.A.C. 7:20-1,
which includes regulations relating to the permit process, emergency procedures, permit denials...

YES

EAP may be required during permit process for High Hazard dams. Environmental Conservation Law 150507 allows promulgation or regs requiring emergency action plans. Regs are being writtten.

YES

Page 8

Summary of EAP State Guidelines


Reviewed/Updated by
State Dam Safety Officials
Prior to EAP Training
Course

Notes

The owner of any dam or reservoir that may cause loss of life or serious damage to property should a
failure of the dam occur shall develop an emergency action plan to be followed in the event of a dam
hazard emergency.

YES

Dam safety laws are contained in the General Laws of Rhode Island Sections 46-18 and 46-19, dated
1956, as amended. Regulations have not been promulgated since the laws do not give the Department
such authority. A Bill was passed in July 2006 that requires an EAP to be developed for each high &
significant hazard dam by July 1, 2008, by the municipality in which the dam is located.

YES

Procedures for emergency action are described in 10 V.S.A. Section 1095.

YES

00-00-11. Emergency Action Plan. The Owner of a High or Moderate Hazard Potential Dam shall
develop an Emergency Action Plan.
Requirements and Guideline

YES

EAP usually required during permit process


...include the power to "establish by rule or regulation such policies, requirements or standards governing
the construction, operation and maintenance of dams or artificial barriers". Emergency Action Plans are
not required under Georgia law or regulations.
The Secretary of the Natural Resources and Environmental Protection Cabinet is empowered by KRS 151
to exercise the following powers:to establish standards for the safe construction, enlargement, repair,
alteration, maintenance, or operation of a dam. Emergency Action Plans are not required by
Kentucky statute or regulation.

YES
YES

The Commission may direct the owner of a high hazard dam to develop an Emergency Action Plan
(Regulations Section 7C 15).
The North Carolina Department of Environment and Natural Resources is responsible for the safety of
dams and for the adoption of all rules and regulations designed to protect life and property. Emergency
Action Plans are required as a condition of impoundment for all new high hazard dams.

Page 9

YES

Summary of EAP State Guidelines


Reviewed/Updated by
State Dam Safety Officials
Prior to EAP Training
Course

Notes

The laws and regulation require Emergency Action Plans for high hazard and significant hazard dams,
based on a 1992 change to the law.
The regulations require that new dams with a high-hazard potential rating submit emergency action
plans to the commissioner. The regulations list what should be included in the EAP (1200-5-7-.07).

YES

The Virginia Soil and Water Conservation Board (Board) promulgates the Virginia Impounding Structures
Regulations in accordance with Virginia Code, Dam Safety Act, Article 2, Chapter 6, Title 10.1. The Board
has the authority to ensure the proper and safe design, construction, maintenance and operation of
impounding structures. An Emergency Action Plan and other forms are required, for the Board to issue a
dam owner an Operation and Maintenance Certificate to operate the dam.

YES

Emergency action plans are required for all Class I and II dams. (11 AAC 93.167 and 11 AAC 93.171).
Federal Guidelines for Dam Safety: Emergency Action Planning for Dam Owners (FEMA,1998c)
The director is directed by law to supervise the operation and maintenance of all jurisdictional dams to
safeguard life and property. Department provides a template in MS Word.
The Department of Water Resources, Division of Safety of Dams (department),..., shall supervise the
construction, ..., operation, and removal of dams and reservoirs for the protection of life and property
as provided in these provisions (4.1.6075).
Owners of Class I and II dams are required to prepare, maintain and exercise Emergency Preparedness
Plans in accordance with the requirements described in Rule 16.
Authority currently requires EAP's for all High hazard. Future work to revise rules to include EAP's for all
dams. In 2006 the program requested EAP's for all dams (due Sept 30, 2006), EAP training scheduled for
Oct-Dec 2006.
The law gives authority to the Idaho Water Resources Board to adopt rules and regulations. (I.C. 42-1714)

Page 10

YES

YES
YES

Summary of EAP State Guidelines

Notes

Reviewed/Updated by
State Dam Safety Officials
Prior to EAP Training
Course

The Chief Engineer of the Division of Water Resources, Kansas Department of Agriculture is empowered
by law to provide for the exclusive regulation of the construction, operation, repair or removal of all dams
to the extent required to carry out the protection of public safety. Regulations (KAR 5-40-2k) require each
application for a permit to construct a high hazard dam to include an emergency action plan. Number of
dams/EAP data from 2004 NID submittal.

YES

The law grants the Department the power to adopt rules to classify high-hazard dams and reservoirs; to
approve and issue permits; to govern inspections; establish safety standards for the design, construction,
operation, and maintenance of high-hazard dams and reservoirs; to establish emergency procedures
and to establish fees commensurate with costs to cover inspections under the law (85-15-110). The
administrative rules require that a high hazard dam owner have an EAP and that it be updated annually.

YES

The North Dakota State Engineer, pursuant to Chapter 61-04 and Sections 61-16.1-38 and 61-16.1-53 of
the NDCC and North Dakota State Water Commission, pursuant to Section 61-02-14 of the NDCC, have
the power and general jurisdiction to regulate, control and supervise the construction and operation of all
dams within the State of North Dakota, both public and private, which they deem necessary. It is strongly
recommended that an Emergency Action Plan be developed for all dams. The level of detail should be
commensurate with the hazard category of the dam. An operation plan is required for all dams that store
greater than 1000 acre-feet. (NDCC 61-03-21). The operation plan must contain emergency procedures
and warning plans (NDAC 89-08-04-01). Authority to require an EAP should consider NDCC 61-03-21
and NDAC 89-08-04-01.
State Engineer Rules and Regulations require EAPs for existing high and significant hazard potential
dams with a time frame for compliance (Subsection F of 19.25.12.21 NMAC)
Nevada Administrative Code 535.320 (regulation) currently requires an emergency action plan for
all high hazard dams, and will be required for significant hazard dams on or before March 31, 2007.
Rule 785:25-7-7 requires owners of existing or proposed dams classified as high hazard to provide an
adequate warning system and evacuation plan to protect downstream lives and property. The plan is to
be approved by and filed with the local Civil Defense authorities.

Page 11

YES

YES
YES

Summary of EAP State Guidelines


Reviewed/Updated by
State Dam Safety Officials
Prior to EAP Training
Course

Notes

The laws and regulations do not specifically require an owner to have an Emergency Action Plan. The
Director can condition a Permit for new construction to include an Emergency Action Plan; however, no
such opportunity is available for existing structures whose hazard rating may have increased in the time
since its initial construction/permitting. The Dam Safety program must issue an Order and present the
case before a hearings officer before being given legal authority to enforce said Order.
Emergency Preparedness Plans (Rules 74:02:08:09 & :10) are required to be prepared and submitted
by the owners of all existing category 1 dams, and as part of the plans and specifications for proposed
category 1 dams. For the 16 High Hazard dams with no EAPs, the dam owner is the only downstream
hazard.
As required by emergency management planning, the executive director may request, and/or the
commission may order a dam owner to provide sufficient data to plan for potential effects of failure or
malfunction of a dam and/or associated appurtenant facilities (299.17).
Various sections of the Code specify that the state engineer may make rules governing such aspects of
the dam safety program as: exemptions, the use of independent consultants on design, construction and
operation considerations, review and approval of plans, inspection and reporting procedures, revocation of
approval, standard operating and emergency action plans.
The Department of Ecology has supervision and control over all dams and stream obstructions, and
authorizes the making of regulations necessary for the protection of life and property. Emergency
action plans are required for all high and significant hazard dams.
Emergency Action Plans are not included as part of the dam safety program in Wyoming.

Page 12

YES

YES

YES

YES

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Action Plan (EAP)


Rock Creek Watershed, Dam No. 23
(Rock City Lake)
National Inventory of Dams (NID) No. OK11111
Coal County, Oklahoma
Coal County Conservation District

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With assistance from the


U.S. Department of Agriculture
Natural Resources Conservation Service

Reviewed and Updated:


__________________________________
Chair, Coal County Conservation District

___________________________________________
Sheriff, Coal County, OK

___________________
Date

__________________
Date

Copy 3

of 8

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Contents
Basic EAP Data.............................................................................................................................................3
EAP Overview..............................................................................................................................................4
Roles and Responsibilities............................................................................................................................6
The Five-step EAP Process
Step 1 Event Detection . ..................................................................................................................6
Emergency Level Determination..........................................................................................7
Guidance for Determining the Emergency Level ................................................................8
Examples of Emergency Situations......................................................................................9

Step 3

Notification and Communication........................................................................................11


Notification Flow Chart......................................................................................................13
Other Emergency Services Contacts...................................................................................16

Step 4

Expected Actions................................................................................................................17

Step 5

Termination.........................................................................................................................20

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Step 2

MaintenanceEAP Review and Revision...................................................................................................21


Record of Holders of Control Copies of this EAP......................................................................................22
Record of Revisions and Updates made to EAP.........................................................................................23

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Concurrences...............................................................................................................................................24
AppendixesForms, Glossary, Maps, and Supporting Data.....................................................................25
Appendix A
Appendix A1 Contact Checklist........................................................................................................26
Appendix A2 Unusual or Emergency Event Log Form....................................................................27
Appendix A3 Dam Emergency Situation Report Form.....................................................................28
Appendix A4 Glossary of Terms.......................................................................................................29
Appendix B
Appendix B1 Resources Available....................................................................................................32
Appendix B2 Location and Vicinity Maps........................................................................................33
Appendix B3 Watershed Project Map...............................................................................................34
Appendix B4 Evacuation Map..........................................................................................................35
Appendix B5 Residents/Businesses/Highways at Risk.....................................................................36
Appendix B6 Plan View of Dam.......................................................................................................37
Appendix B7 Profile of Principal Spillway.......................................................................................38
Appendix B8 Reservoir Elevation-area-volume and Spillway Capacity Data.................................39
Appendix B9 National Inventory of Dams (NID) Data....................................................................40
Page  of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Basic EAP Data


Purpose:
The purpose of this EAP is to reduce the risk of human life loss and injury and to minimize property
damage during an unusual or emergency event at Rock Creek Watershed, Dam No. 23.
Potential Impacted Area:
See Evacuation Map tab (Appendix B4) and People at Risk tab (Appendix B5) for the locations and
contact information of the following residents and businesses that may be flooded if the dam should fail
and the estimated time for the flood wave to travel from the dam to these locations:
6 houses:
4 on the south side of the Elmwood Heights subdivision in southeast Rock City
2 outside city limits:
1 on south side of Rock Creek, south of Rock City
1 on east side of Highway 44 approximately 1 mile south of Rock City
3 businesses on east side of Highway 44 south of Rock City:
Loris Music Shop, Larrys Hardware, and Bills Coffee Shop
3 highways:
Interstate 40 and OK Highways 44 and 66

Dam Description:

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Height: 40 ft
Built: 1960
Legal Description: Sects. 14 and 23, T13N, R21W
Latitude: 35.42875 Longitude: -99.19802
National Inventory of Dams No.: OK11111

Drainage Area: 7.7 mi


Hazard Classification: High
Dam Operator: Coal Co. Cons. District
Major Property Owner: Bryan Babcock
Dam Designer: NRCS

See detailed design data in appendix B tab.

Directions to dam: (See Location and Vicinity Map; Appendix B2.)


Rock Creek, Dam No. 23 can be accessed by traveling south 1.2 miles on OK Highway 44 from the
Interstate 40 interchange south of Rock City; turn right (west) on a gated dirt road that goes directly to
the left abutment of the dam. Keys for the lock on the gate are available from the Conservation District
Manager at 523 Second Street, Rock City, OK. Note that a portion of this road is within the dam breach
inundation area and the valley below the dam may be flooded.
An alternate route to the dam is available approximately 0.5 miles south of Rock Creek on Highway 44;
turn right on an ungated dirt road that goes to the right abutment of the dam. Note that Highway 44 may
be inundated or the bridge may be damaged so access to this alternate route may have to be accessed from
Highway 44 south of the dam.

Page  of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Action Plan Overview


STEP 1:
Event Detection

Detect event

Step 2:
Emergency Level
Determination

Level 1
Unusual Event;
Slowly
Developing

Level 2
Potential Dam
Failure Situation;
Rapidly
Developing

Level 3
Urgent;
Dam Failure
Appears to be
Imminent or is in
Progress

Notify

Notify

Notify

Level 2
Lists

Level 3
Lists

Save dam

Save people

Protective
Actions

Evacuate

Level 1
Lists

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Step 3:
Notification and
Communication

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Assess situation
determine emergency level

Step 4:
Expected Actions

Step 5:
Termination
and
Follow-up

Page  of 40

Monitor

Termination and follow-up

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Roles and Responsibilities


Dam Operators Representative (Conservation District Manager)
As soon as an emergency event is observed or reported, immediately determine the emergency level
(see Emergency Level Determination tab).
Level 1: unusual event, slowly developing
Level 2: potential dam failure situation, rapidly developing
Level 3: dam failure is imminent or in progress

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Immediately notify the personnel in the order shown on the notification flow chart for the appropriate
level (see Notification Flow Charts tab).
Provide updates of the situation to the Police/Sheriff dispatcher to assist them in making timely and
accurate decisions regarding warnings and evacuations.
Provide leadership to assure the EAP is reviewed and updated annually and copies of the revised EAP
are distributed to all who received copies of the original EAP.
Incident Commander (County sheriff)

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Serves as the primary contact person responsible for coordination of all emergency actions
When a Level 2 situation occurs: Prepare emergency management personnel for possible evacuations
that may be needed if a Level 3 situation occurs.
When a Level 3 situation occurs:
Initiate warnings and order evacuation of people at risk downstream of the dam.
Notify local emergency management services to carry out the evacuation of people and close roads
within the evacuation area (see Evacuation Map tab).
Decide when to terminate the emergency.
Participate in annual review and update of the EAP.
Emergency Management Services (Rock City)
Maintain communication with media.
When a Level 2 situation occurs:
Prepare emergency management personnel for possible evacuations that may be needed if a Level 3
situation occurs.
Alert public as appropriate
When a Level 3 situation occurs:
Alert the general public of the emergency.
Immediately close roads and evacuate people located within the evacuation area (see Evacuation
Map tab).
Participate in annual review and update of the EAP.
Dam Operators Technical Representatives (NRCS)
Advise dam operator on emergency level determination if time permits.
Advise dam operator on remedial actions to take if Level 2 event occurs.
State Dam Safety Agency (Oklahoma Water Resources Board)
Advise dam operator on emergency level determination if time permits.
Advise dam operator on remedial actions to take if Level 2 event occurs and if time permits.

Page  of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

The Five-step EAP Process


Step 1

Event Detection

This step describes the detection of an unusual or emergency event and provides information to assist the
dam operator in determining the appropriate emergency level for the event.
Unusual or emergency events may be detected by:

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Observations at or near the dam by government personnel (local, state, or Federal), landowners,
visitors to the dam, or the public
Evaluation of instrumentation data
Earthquakes felt or reported in the vicinity of the dam
Forewarning of conditions, which may cause an unusual event or emergency event at the dam (for
example, a severe weather or flash flood forecast)

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See Guidance for Determining the Emergency Level table for assistance in evaluating specific events to
determine if they are unusual or potential emergency situations.

Page  of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Step 2

Revision No. 1 9/25/2006

Emergency Level Determination

After an unusual or emergency event is detected or reported, the Conservation District Manager or his
alternate is responsible for classifying the event into one of the following three emergency levels:
Emergency level 1Nonemergency, unusual event, slowly developing:

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This situation is not normal but has not yet threatened the operation or structural integrity of the dam, but
possibly could if it continues to develop. NRCS technical representatives or State Dam Safety officials
should be contacted to investigate the situation and recommend actions to be taken. The condition of the
dam should be closely monitored, especially during storm events, to detect any development of a potential
or imminent dam failure situation. The Sheriff should be informed if it is determined that the conditions
may possibly develop into a worse condition that may require emergency actions.
Emergency level 2Potential dam failure situation, rapidly developing:

This situation may eventually lead to dam failure and flash flooding downstream, but there is not an
immediate threat of dam failure. The sheriff should be notified of this emergency situation and placed on
alert. The dam operator should closely monitor the condition of the dam and periodically report the status
of the situation to the Sheriff. If the dam condition worsens and failure becomes imminent, the sheriff must
be notified immediately of the change in the emergency level to evacuate the people at risk downstream.

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If time permits, NRCS and state dam safety officials should be contacted to evaluate the situation and
recommend remedial actions to prevent failure of the dam. The dam operator should initiate remedial
repairs (note local resources that may be availablesee Appendix B1). Time available to employ remedial
actions may be hours or days.
This emergency level is also applicable when flow through the earth spillway has or is expected to result
in flooding of downstream areas and people near the channel could be endangered. Emergency services
should be on alert to initiate evacuations or road closures if the flooding increases.
Emergency Level 3UrgentDam failure appears to be imminent or is in progress:
This is an extremely urgent situation when a dam failure is occurring or obviously is about to occur and
cannot be prevented. Flash flooding will occur downstream of the dam. This situation is also applicable
when flow through the earth spillway is causing downstream flooding of people and roads. The Sheriff
should be contacted immediately so emergency services can begin evacuations of all at-risk people and
close roads as needed (see Evacuation Map tab).
See following pages for guidance in determining the proper emergency level for various situations.

Page  of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Guidance for Determining the Emergency Level

Earth spillway
flow

Embankment
overtopping

Seepage

Sinkholes

Situation

Emergency
level*

Reservoir water surface elevation at auxiliary spillway crest or spillway is flowing


with no active erosion

Spillway flowing with active gully erosion

Spillway flow that could result in flooding of people downstream if the reservoir
level continues to rise

Spillway flowing with an advancing headcut that is threatening the control section

Spillway flow that is flooding people downstream

Reservoir level is 1 foot below the top of the dam

Water from the reservoir is flowing over the top of the dam

New seepage areas in or near the dam

New seepage areas with cloudy discharge or increasing flow rate

Seepage with discharge greater than 10 gallons per minute

Observation of new sinkhole in reservoir area or on embankment

Rapidly enlarging sinkhole

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Event

New cracks in the embankment greater than 1/4-inch wide without seepage

Cracks in the embankment with seepage

Embankment
movement

Visual movement/slippage of the embankment slope

Sudden or rapidly proceeding slides of the embankment slopes

Instruments

Instrumentation readings beyond predetermined values

Measurable earthquake felt or reported on or within 50 miles of the dam

Earthquake resulting in visible damage to the dam or appurtenances

Earthquake resulting in uncontrolled release of water from the dam

Verified bomb threat that, if carried out, could result in damage to the dam

Detonated bomb that has resulted in damage to the dam or appurtenances

Damage to dam or appurtenances with no impacts to the functioning of the dam

Modification to the dam or appurtenances that could adversely impact the


functioning of the dam

Damage to dam or appurtenances that has resulted in seepage flow

Damage to dam or appurtenances that has resulted in uncontrolled water release

Earthquake

Security
threat

Sabotage/
vandalism

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Embankment
cracking

* Emergency level 1: Nonemergency, unusual event, slowly developing


* Emergency level 2: Potential dam failure situation, rapidly developing
* Emergency level 3: Urgent; dam failure appears to be imminent or is in progress

Page  of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Examples of Emergency Situations


The following are typical examples of conditions that may occur at a dam that usually constitute an
emergency situation. Adverse or unusual conditions that can cause the failure of a dam are typically related
to aging or design and construction oversights. Extreme weather events that exceed the original designed
conditions can cause significant flow through the auxiliary spillway or overtopping of the embankment.
However, accidental or intentional damage to the dam may also result in emergency conditions. The
conditions have been grouped to identify the most likely emergency level condition. The groupings are
provided as guidance only. Not all emergency conditions may be listed, and the dam operator is urged to
use conservative judgment in determining whether a specific condition should be defined as an emergency
situation at the dam.

Earth Spillway Flows

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Pre-existing conditions on this dam: There has been a small seepage area near the downstream toe on the
north side of the release channel. This was first noticed in the 1990s, but has not changed since that time.

Emergency Level 2Potential dam failure situation; rapidly developing:

1. Significant erosion or head cutting of the spillway is occurring but the rate does not appear to threaten
an imminent breach of the spillway crest that would result in an uncontrolled release of the reservoir.
2. Flow through the earth auxiliary spillway is or is expected to cause flooding that could threaten
people, homes, and/or roads downstream from the dam.
Emergency Level 3Urgent; dam failure appears to be imminent or is in progress:

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1. Significant erosion or head cutting of the spillway is occurring at a rapid rate and a breach of the
control section appears to be imminent.
2. Flow through the earth auxiliary spillway is causing flooding that is threatening people, homes, and/or
roads downstream from the dam.
Embankment Overtopping

Emergency Level 2Potential dam failure situation; rapidly developing:


1. The reservoir level is within 1 foot from the top of the dam.
Emergency Level 3Urgent; dam failure appears to be imminent or is in progress:
1. The reservoir level has exceeded the top of the dam and flow is occurring over the embankment.

Page  of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Seepage and Sinkholes


Emergency Level 2Potential dam failure situation; rapidly developing:

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1. Cloudy seepage or soil deposits are observed at seepage exit points or from internal drain outlet pipes.
2. New or increased areas of wet or muddy soils are present on the downstream slope, abutment,
and/or foundation of the dam, and there is an easily detectable and unusual increase in volume of
downstream seepage.
3. Significant new or enlarging sinkhole(s) near the dam or settlement of the dam is observed.
4. Reservoir level is falling without apparent cause.
5. The following known dam defects are or will soon be inundated by a rise in the reservoir:
Sinkhole(s) located on the upstream slope, crest, abutment, and/or foundation of the dam; or
Transverse cracks extending through the dam, abutments, or foundation.

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Emergency Level 3Urgent; dam failure appears to be imminent or is in progress:


1. Rapidly increasing cloudy seepage or soil deposits at seepage exit points to the extent that failure
appears imminent or is in progress.
2. Rapid increase in volume of downstream seepage to the extent that failure appears imminent or is in
progress.
3. Water flowing out of holes in the downstream slope, abutment, and/or foundation of the dam to the
extent that failure appears imminent or is in progress.
4. Whirlpools or other evidence exists indicating that the reservoir is draining rapidly through the dam or
foundation.
5. Rapidly enlarging sinkhole(s) are forming on the dam or abutments to the extent that failure appears
imminent or is in progress.
6. Rapidly increasing flow through crack(s) eroding materials to the extent that failure appears imminent
or is in progress.
Embankment Movement and Cracking
Emergency Level 2Potential dam failure situation; rapidly developing:
1. Settlement of the crest, slopes, abutments and/or foundation of the dam that may eventually result in
breaching of the dam.
2. Significant increase in length, width, or offset of cracks in the crest, slopes, abutments, and/or
foundation of the dam that may eventually result in breaching of the dam.
Emergency Level 3Urgent; dam failure appears to be imminent or is in progress:
1. Sudden or rapidly proceeding slides, settlement, or cracking of the embankment crest, slopes,
abutments, and/or foundation, and breaching of the dam appears imminent or is in progress.

Page 10 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Step 3

Revision No. 1 9/25/2006

Notification and Communication

Notification:
After the emergency level has been determined, the people on the following notification flowcharts for the
appropriate emergency level shall be notified immediately.
Communication:

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Emergency Level 1Nonemergency, unusual event; slowly developing:


The Conservation District Manager and NRCS District Conservationist should contact the NRCS State
Conservation Engineer and Oklahoma Water Resources Board. Describe the situation and request technical
assistance on next steps that should be taken.
Emergency Level 2Potential dam failure situation; rapidly developing:
The following message may be used to help describe the emergency situation to the Sheriff or Rock City
emergency management personnel:

This is
(Identify yourself; name, position, etc.)
.
We have an emergency condition at Rock Creek watershed dam no. 23 that is located 2 miles south of
Rock City.
We have activated the emergency action plan for this dam and are currently under Emergency Level 2.
We are implementing predetermined actions to respond to a rapidly developing situation that could
result in dam failure.
Please prepare to evacuate the area along low-lying portions of rock creek.
Reference the evacuation map in your copy of the emergency action plan.
We will advise you as soon as the situation is resolved or if the situation gets worse.
I can be contacted at the following number ___________________________. If you cannot reach me,
please call the following alternative number____________________________.

Page 11 of 40

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Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Level 3Urgent; dam failure appears to be imminent or is in progress:


The Sheriff should be contacted immediately, and the potential area flooded, if the dam should fail, must be
evacuated (see Evacuation Map tab). The following actions should be taken:
1. Call the Sheriffs dispatch center. Be sure to say, This is an emergency. They will call other
authorities and the media and begin the evacuation. The following message may be used to help
describe the emergency situation to the Sheriff or Rock City emergency management personnel:

This is an emergency. This is


Identify yourself; name, position)
.
Rock Creek watershed dam no. 23 located 2 miles south of Rock City is failing. The downstream area
must be evacuated immediately. Repeat, Rock Creek Dam No. 23 is failing; evacuate the area along
low-lying portions of Rock Creek.
We have activated the emergency action plan for this dam and are currently under Emergency Level 3.
Reference the evacuation map in your copy of the Emergency Action Plan.
I can be contacted at the following number ___________________________. If you cannot reach me,
please call the following alternative number____________________________.

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2. Do whatever is necessary to bring people in immediate danger to safety if directed by the Sheriff
(anyone on the dam, downstream from the dam, boating on the reservoir, or evacuees).
3. Keep in frequent contact with the Sheriff and emergency services to keep them up-to-date on the
condition of the dam. They will tell you how you can help handle the emergency.

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4. If all means of communication are lost: (1) try to find out why, (2) try to get to another radio or
telephone that works, or (3) get someone else to try to re-establish communications. If these means
fail, handle the immediate problems as well as you can, and periodically try to reestablish contact with
the Sheriff and emergency services.
The following pre-scripted message may be used as a guide for the Sheriff or Rock City emergency
services personnel to communicate the status of the emergency with the public:


Attention: This is an emergency message from the Sheriff. Listen carefully. Your life may depend on
immediate action.
Rock Creek Dam no. 23 located 2 miles south of Rock City is failing. Repeat. Rock Creek Dam No. 23
located 2 miles south of Rock City is failing.
If you are in or near this area, proceed immediately to high ground away from the valley. Do not
travel on Highway 44 south of Rock City or return to your home to recover your possessions. You
cannot outrun or drive away from the flood wave. Proceed immediately to high ground away from the
valley.

Repeat message.

Page 12 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Level 1 Notifications


Nonemergency
unusual event, slowly developing

Dam Operators Rep.

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Coal County Conservation District Manager


John Jordan

407-555-XXXX (Office)
407-555-XXXX (Home)
407-555-XXXX (Cell)
(1)
Dam Operators
Technical Reps.

(2)

State Dam Safety


Official

Oklahoma Water Resources Board

Shelly Winters

Joe Griswold

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NRCS District Conservationist

407-555-XXXX (Office)
407-555-XXXX (Home)
407-555-XXXX (Cell)

618-555-XXXX (Office)
618-555-XXXX (Home)
618-555-XXXX (Cell)

NRCS State Engineer


Robert Redford

917-555-XXXX (Office)
917-555-XXXX (Home)
917-555-XXXX (Cell)
Note:
1,2, etc. denotes call sequence
Legend:
Calls by operator
Second level calls

Page 13 of 40

See Contacts tab for contact information


for back-ups to the persons shown above and
other emergency personnel

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Level 2 Notifications


Emergency event, potential dam failure
situation; rapidly developing

Dam Operators Rep.

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Coal County Conservation District Manager


John Jordan

407-555-XXXX (Office)
407-555-XXXX (Home)
407-555-XXXX (Cell)
(1)
Dam Operators
Technical Reps.
NRCS District Conservationist

407-555-XXXX (Office)
407-555-XXXX (Home)
407-555-XXXX2 (Cell)
NRCS State Engineer

State Dam Safety Official

Sheriff

Oklahoma Water
Resources Board

Henry Martin

407-555-XXXX (Office)
407-555-XXXX (Home)
Rock City Emergency
Management
Dispatcher

Robert Redford

917-555-XXXX (Office)
917-555-XXXX (Home)
917-555-XXXX (Cell)

Note:
1,2, etc. denotes call sequence
Legend:
Calls by operator
Second level calls

Page 14 of 40

(3)

Incident Commander

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Shelly Winters

(2)

OK Highway Patrol
Dispatcher
Rock City Police
Dispatcher

See Step 3 tab for


prescripted messages

Joe Griswold

618-555-XXXX (Office)
618-555-XXXX (Home)
618-555-XXXX (Cell)
Coal County Amateur
Radio Association:
John Turney
KE5GBD
407-555-XXXX
National Weather Service
618-555-XXXX
See Contacts tab for contact
information for back-ups to
the persons shown above and
other emergency personnel

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Level 3 Notifications


Urgent event, dam failure appears to be
imminent or is progress

Dam Operators Rep.


Coal County Conservation District Manager

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John Jordan

407-555-XXXX (Office)
407-555-XXXX (Home)
407-555-XXXX (Cell)
(1)
Incident Commander
Sheriff
Henry Martin

Rock City Emergency


Management
Dispatcher
OK Highway Patrol
Dispatcher
Rock City Police
Dispatcher

Note:
1,2, etc. denotes call sequence
Legend:
Calls by operator
Second level calls

Page 15 of 40

(3)

State Dam Safety


Official

Dam Operators
Technical Reps.

Oklahoma Water
Resources Board

NRCS District Conservationist

Joe Griswold

618-555-XXXX (Office)
618-555-XXXX (Home)
618-555-XXXX (Cell)

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407-555-XXXX (office)
407-555-XXXX (Home)
407-555-XXXX (Cell)
or
24-HOUR 911

(2)

National Weather Service


618-555-XXXX

Shelly Winters

407-555-XXXX (Office)
407-555-XXXX (Home)
407-555-XXXX (Cell)

NRCS State Engineer


Robert Redford

Coal County Amateur


Radio Association:
John Turney

917-555-XXXX (Office)
917-555-XXXX (Home)
917-555-XXXX (Cell)

KE5GBD
407-555-XXXX

See Step 3 tab for


prescripted messages

See Contacts tab for contact


information for back-ups to
the persons shown above and
other emergency personnel

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Services Contacts


Principal contact

Address

Gloria Brown
Chair
Max Gray
Supervisor
John Jordon *
District Manager
Mary James *
District Secretary
Mike Blain *
Board Chair
Henry Martin

Dry Gulch Television


Station KJMT
Landowner of Dam
No. 23
National Weather
Service

Chris Klinger
Manager
Bryon Babcock

336 Highway 66
Rock City, OK
973 Ninth Street
Rock City, OK
523 Second Street
Rock City, OK
523 Second Street
Rock City, OK
523 Second Street
Rock City, OK
336 Highway 66
Rock City, OK
5632 Main Street
Dry Gulch, OK
R.R. #2
Rock City, OK
66374 Elm Street
Norman, OK

Natural Resources
Conservation Service

Shelly Winters
District
Conservationist
John Blake *
Technician
Robert Redford
State Engineer
Bill Dobson
District Engineer
Richard Barnell

Rock City Emergency


Management
Coordinator
Rock City Fire
Department

Joe Griswold
Dam Safety
Officer
Jeff Powers

Alternate telephone
numbers

407-555-XXXX
407-555-XXXX
407-555-XXXX
407-555-XXXX
407-555-XXXX
407-555-XXXX

618-555-XXXX

407-555-XXXX (H)
405-555-XXXX (C)
407-555-XXXX (H)
405-555-XXXX (C)
407-555-XXXX (H)
405-555-XXXX (C)
407-555-XXXX (H)
407-555-XXXX (C)
407-555-XXXX (H)
407-555-XXXX (C)

523 Second Street


Rock City, OK

407-555-XXXX

407-555-XXXX (H)
405-555-XXXX (C)

523 Second Street


Rock City, OK
3458 Farm Road
Strong City, OK
539 Center Street
Dry Gulch, OK
299 First Ave.
Dry Gulch, OK
1522 Maple Ave.
Strong City, OK

407-555-XXXX

407-555-XXXX (H)

917-555-XXXX

917-555-XXXX (H)
917-555-XXXX (C)

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Natural Resources
Conservation Service
Natural Resources
Conservation Service
Oklahoma Department
of Transportation
Oklahoma Highway
Patrol
Oklahoma Water
Resources Board

Danny Lee
Climatologist

Office telephone
number
407-555-XXXX

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Agency /
Organization
Coal County Board of
Supervisors
Coal County Road
Department
Coal County
Conservation District
Coal County
Conservation District
Coal County
Conservation District
Coal County Sheriff

407-555-XXXX
407-555-XXXX
618-555-XXXX

121 Main Street


Rock City, OK

407-555-XXXX

Harry James

336 Maple Street


Rock City, OK

407-555-XXXX

Rock City Police

Red Jones

336 Maple Street


Rock City, OK

407-555-XXXX

Rock City Radio


Station 1040 AM

Scott Fagen
Manager

667 Eighth Street


Rock City, OK

407-555-XXXX

618-555-XXXX (H)
618-555-XXXX (C)

* Back-up to primary contact

Page 16 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Step 4

Revision No. 1 9/25/2006

Expected Actions

If the police or sheriff receives a 911 call regarding observations of an unusual or emergency event at
the dam, they should immediately contact the Conservation District office. After the conservation district
manager determines the emergency level, the following actions should be taken. If time permits, NRCS
and the Oklahoma Water Resources Board should be contacted for technical consultation.
Emergency Level 1Nonemergency, unusual event; slowly developing:

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A. The Conservation District Manager should inspect the dam. At a minimum, inspect the full length
of the upstream slope, crest, downstream toe, and downstream slope. Also check the reservoir area,
abutments, and downstream channel for signs of changing conditions. If increased seepage, erosion,
cracking, or settlement are observed, immediately report the observed conditions to the NRCS
or the Oklahoma Water Resources Board; refer to the emergency level table for guidance in
determining the appropriate event level for the new condition and recommended actions.
B. Record all contacts that were made on the Contact Checklist (Appendix A1) Record all information,
observations, and actions taken on the Event Log Form (Appendix A2). Note the time of changing
conditions. Document the situation with photographs and video if possible.
C. The Conservation District Manager should contact NRCS and request technical staff to investigate the
situation and recommend corrective actions.
Emergency Level 2Potential dam failure situation; rapidly developing:

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A. The Conservation District Manager should contact the NRCS and the Oklahoma Water Resources
Board to report the situation and, if time permits, request technical staff to investigate the situation
and recommend corrective actions.
B. The Conservation District Manager should contact the Sheriff to inform him/her that the EAP has
been activated and if current conditions get worse, an emergency situation may require evacuation.
Preparations should be made for possible road closures and evacuations.
C. Provide updates to the Sheriff and emergency services personnel to assist them in making timely
decisions concerning the need for warnings, road closures, and evacuations.
D. If time permits, the Conservation District Manager should inspect the dam. At a minimum, inspect
the full length of the upstream slope, crest, downstream toe, and downstream slope. Also check the
reservoir area, abutments, and downstream channel for signs of changing conditions. If piping,
increased seepage, erosion, cracking, or settlement are observed, immediately report the
observed conditions to the NRCS and the Oklahoma Water Resources Board; refer to the
emergency level table for guidance in determining the appropriate event level for the new
condition and recommended actions.
E. Record all contacts that were made on the Contact Checklist (Appendix A1). Record all information,
observations, and actions taken on the Event Log Form (Appendix A2). Note the time of changing
conditions. Document the situation with photographs and video, if possible.
F. If time permits, the following emergency remedial actions should be taken as appropriate.

Page 17 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Level 2Potential dam failure situation; rapidly developingcontinued:

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Emergency remedial actions


If time permits, the following emergency remedial actions should be considered for Emergency Level
2 conditions. Immediate implementation of these remedial actions may delay, moderate, or prevent the
failure of the dam. Several of the listed adverse or unusual conditions may be apparent at the dam at the
same time, requiring implementation of several modes of remedial actions. Close monitoring of the dam
must be maintained to confirm the success of any remedial action taken at the dam. Time permitting, any
remedial action should be developed through consultation with NRCS and the Oklahoma Water Resources
Board. See Resources Available (Appendix B1) for sources of equipment and materials to assist with
remedial actions.
Embankment overtopping
1. If the water level in the reservoir is no longer rising, place sandbags along the low areas of the top of
the dam to control wave action, reduce the likelihood of flow concentration during minor overtopping,
and to safely direct more water through the spillway.
2. Cover the weak areas of the top of the dam and downstream slope with riprap, sandbags, plastic
sheets, or other materials to provide erosion-resistant protection.

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Seepage and sinkholes


1. Open principal spillway gate to lower the reservoir level as rapidly as possible to a level that stops
or decreases the seepage to a nonerosive velocity. If the gate is damaged or blocked, pumping or
siphoning may be required.
Continue lowering the water level until the seepage stops.
2. If the entrance to the seepage origination point is observed in the reservoir (possible whirlpool) and is
accessible, attempt to reduce the flow by plugging the entrance with readily available materials, such
as hay bales, bentonite, soil or rock fill, or plastic sheeting.
3. Cover the seepage exit area(s) with several feet of sand/gravel to hold fine-grained embankment or
foundation materials in place. Alternatively, construct sandbag or other types of ring dikes around
seepage exit areas to retain a pool of water, providing backpressure and reducing the erosive nature of
the seepage.
4. Prevent vehicles and equipment from driving between the seepage exit points and the embankment to
avoid potential loss from the collapse of an underground void.
Embankment movement
1. Open outlet(s) and lower the reservoir to a safe level at a rate commensurate with the urgency
and severity of the condition of the slide or slump. If the gate is damaged or blocked, pumping or
siphoning may be required.
2. Repair settlement of the crest by placing sandbags or earth and rock fill materials in the damaged area
to restore freeboard.
3. Stabilize slides by placing a soil or rock fill buttress against the toe of the slide.
Earthquake
1. Immediately conduct a general overall visual inspection of the dam.
2. Perform field survey to determine if there has been any settlement and movement of the dam
embankment, spillway and low level outlet works.
3. Drain reservoir if required.
Page 18 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency Level 3Urgent; dam failure appears to be imminent or is in progress:

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A. The Conservation District Manager shall immediately contact the Sheriff and others shown on the
notification flow chart.
B. The sheriff shall lead the efforts to carry out warnings, close roads, and evacuate people at risk
downstream from the dam (see Evacuation Map tab).
C. Emergency Management services personnel shall alert the general public and immediately evacuate
at-risk people and close roads as necessary.
D. The Conservation District Manager shall maintain continuous communication and provide the sheriff
with updates of the situation to assist him in making timely decisions concerning warnings and
evacuations.
E. The Conservation District Manager should record all contacts that were made on the Contact
Checklist (Appendix A1). Record all information, observations, and actions taken on the Event
Log Form (Appendix A2). Note the time of changing conditions. Document the situation with
photographs and video, if possible.
F. Advise people monitoring the dam to follow safe procedures. Everyone should stay away from any of
the failing structures or slopes and out of the potential breach inundation areas.

Page 19 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Step 5

Revision No. 1 9/25/2006

Termination

Whenever the EAP has been activated, an emergency level has been declared, all EAP actions have been
completed, and the emergency is over, the EAP operations must eventually be terminated and follow-up
procedures completed.
Termination responsibilities

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The Sheriff is responsible for terminating EAP operations and relaying this decision to the Conservation
District Manager. It is then the responsibility of each person to notify the same group of contacts that he
or she notified during the original event notification process to inform those people that the event has been
terminated.
Prior to termination of an Emergency Level 3 event that has not caused actual dam failure, the NRCS
technical representative or the State Dam Safety Officer will inspect the dam or require the inspection of
the dam to determine whether any damage has occurred that could potentially result in loss of life, injury,
or property damage. If it is determined that conditions do not pose a threat to people or property, the
Sheriff will be advised to terminate EAP operations as described above.

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The Conservation District Manager shall assure that the Dam Safety Emergency Situation Report
(Appendix A3) is completed to document the emergency event and all actions that were taken. The
Conservation District shall distribute copies of the completed report to the Oklahoma Water Resources
Board and the NRCS State Conservation Engineer.

Page 20 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

MaintenanceEAP Review and Revision


EAP annual review
The Conservation District Manager will review and, if needed, update the EAP at least once each year. The
EAP annual review will include the following:

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Calling all contacts on the three notification charts in the EAP to verify that the phone numbers and
persons in the specified positions are current. The EAP will be revised if any of the contacts have
changed.
Contacting the local law enforcement agency to verify the phone numbers and persons in the specified
positions. In addition, the Conservation District Manager will ask if the person contacted knows
where the EAP is kept and if responsibilities as described in the EAP are understood.
Calling the locally available resources to verify that the phone numbers, addresses, and services are
current.
Revisions
The Conservation District is responsible for updating the EAP documents. The EAP document held by the
Conservation District is the master document. When revisions occur, the Conservation District will provide
the revised pages and a revised revision summary page to all the EAP document holders. The document
holders are responsible for revising outdated copy of the respective document(s) whenever revisions are
received. Outdated pages shall be immediately discarded to avoid any confusion with the revisions.
EAP periodic test

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The Conservation District will host and facilitate a periodic test of the EAP at least once every 5 years.
The periodic test will consist of a meeting, including a tabletop exercise, conducted at the Coal County
Conservation District office. Attendance should include the Conservation District Manager, key
conservation district staff members, NRCS staff, at least one representative of the local law enforcement
agency, and others with key responsibilities listed in the EAP. At the discretion of the Conservation
District, other organizations that may be involved with an unusual or emergency event at the dam are
encouraged to participate. Before the tabletop exercise begins, meeting participants will visit the dam
during the periodic test to familiarize themselves with the dam site.
The tabletop exercise will begin with the facilitator presenting a scenario of an unusual or emergency event
at the dam. The scenario will be developed prior to the exercise. Once the scenario has been presented,
the participants will discuss the responses and actions that they would take to address and resolve the
scenario. The narrator will control the discussion, ensuring realistic responses and developing the scenario
throughout the exercise. The Conservation District Manager should complete an event log as they would
during an actual event.
After the tabletop exercise, the five sections of the EAP will be reviewed and discussed. Mutual aid
agreements and other emergency procedures can be discussed. The Conservation District will prepare a
written summary of the periodic test and revise the EAP as necessary.

Page 21 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Record of Holders of Control Copies of this EAP


Person receiving copy

John Jordan

Coal County Conservation District


523 Second Street
Rock City, OK 50010

Coal County Conservation District


523 Second Street
Rock City, OK 50010

Mike Blain

NRCS Field Office


523 Second Street
Rock City, OK 50010

Shelly Winters

NRCS State Office


3458 Farm Road
Strong City, OK 51020

Robert Redford

Coal County Sheriffs Department


336 Highway 66
Rock City, OK 50010

Henry Martin

Rock City Emergency Management


121 Main Street
Rock City, OK 50010

Jeff Powers

Red Jones

Rock City Police Department


336 Maple Street
Rock City, OK 50010

Oklahoma Water Resources Board


1522 Maple Street
Strong City, OK 51020

Joe Griswold

Page 22 of 40

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Organization

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Copy
Number

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Record of Revisions and Updates Made to EAP


Date

Revisions made

Who

9-25-06

Updated 9-15-05 EAP with current contact


information for Conservation District personnel
and names of new residents in evacuation area

John Jordon

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Revision
Number

Page 23 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Concurrences
By my signature, I acknowledge that I, or my representative, have reviewed this plan and concur with the
tasks and responsibilities assigned herein for me and my organization.
1. ____________________________________________________________________________________
Signature
Organization
Date
Printed name and title:

Mike Blain, Chair, Coal County Conservation District

Printed name and title:

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2. ___________________________________________________________________________________
Signature
Organization
Date
Henry Martin, Sheriff, Coal County

3. ____________________________________________________________________________________
Signature
Organization
Date
Printed name and title:

Jeff Powers, Emergency Management Coordinator, Rock City

4. ____________________________________________________________________________________
Signature
Organization
Date
Red Jones, Chief of Police, Rock City

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Printed name and title:

5. ____________________________________________________________________________________
Signature
Organization
Date
Printed name and title:

Shelley Winters, District Conservationist, NRCS, Rock City

6. ____________________________________________________________________________________
Signature
Organization
Date
Printed name and title: ___________________________________________________________________
7. ____________________________________________________________________________________
Signature
Organization
Date
Printed name and title: __________________________________________________________________

Page 24 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

AppendixesForms, Glossary, Maps, and


Supporting Data
Appendix A

Appendix B
B1
B2
B3
B4
B5
B6
B7
B8
B9

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Contact Checklist
Unusual or Emergency Event Log Form
Dam Emergency Situation Report Form
Glossary of Terms

Resources Available
Location and Vicinity Maps
Watershed Project Map
Evacuation Map
Residents/Businesses/Highways at Risk
Plan View of Dam
Profile of Principal Spillway
Reservoir Elevation-Area-Volume and Spillway Capacity Data
National Inventory of Dams (NID) Data

Page 25 of 40

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A1
A2
A3
A4

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix A1
Contact Checklist
Rock Creek Watershed, Dam Number 23
Coal County, Oklahoma

Date _____________

Emergency Level 1 (see page 13)


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The following contacts should be made immediately after the emergency level is determined (see pages
710 for guidance to determine the appropriate emergency level for a specific situation). The person
making the contacts should initial and record the time of the call and who was notified for each contact
made. See the Notification Flowcharts for critical contact information and page 16 for contact information
for other possible emergency services.
Person
Contacted

Time
Contacted

Contacted
by

_____________

____________

_________

___ NRCS State Conservation Engineer _____________

____________

_________

___ Oklahoma Water Resources Board

_____________

____________

_________

Person
Contacted

Time
Contacted

Contacted
by

_____________

____________

_________

____ NRCS State Conservation Engineer _____________

____________

_________

____ Oklahoma Water Resources Board _____________

____________

_________

____ Sheriff

_____________

____________

_________

Person
Contacted

Time
Contacted

Contacted
by

_____________

____________

_________

____ Oklahoma Water Resources Board _____________

____________

_________

____ NRCS District Conservationist

_____________

____________

_________

____ NRCS State Conservation Engineer _____________

____________

_________

___ NRCS District Conservationist

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Emergency Level 2 (see page 14)


____ NRCS District Conservationist

Emergency Level 3 (see page 15)



____ Sheriff

Page 26 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix A2
Unusual or Emergency Event Log
(to be completed during the emergency)

Dam name:

Rock Creek Watershed, Dam No. 23

County:

Coal County

When and how was the event detected? ______________________________________________________


______________________________________________________________________________________

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Weather conditions:______________________________________________________________________
______________________________________________________________________________________
General description of the emergency situation: ____________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
Emergency level determination: ______________ Made by: _________________________________

Date

Time

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ACTIONS AND EVENT PROGRESSION


Action/event progression

Taken by

Report prepared by: _______________________________________ Date: _______________

Page 27 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix A3
Dam Emergency Situation Report

(to be completed following the termination of the emergency)


Dam name: Rock Creek Watershed, Dam No. 23

National Inventory of Dams (NID) No.: OK11111

Dam location: 2 miles South of Rock City


(City)
Date:__________________________

Coal County
(County)

Rock Creek
(Stream/River)

Time: ___________________________

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Weather conditions: _____________________________________________________________________


General description of emergency situation: __________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
Area(s) of dam affected: __________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________

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Extent of dam damage: __________________________________________________________________


Possible cause(s): _______________________________________________________________________
Effect on dams operation:

______________________________________________________________

Initial reservoir elevation: _______________________

Time: _________________________

Maximum reservoir elevation: ______________________ Time: _________________________


Final reservoir elevation: _________________________

Time: _________________________

Description of area flooded downstream/damages/injuries/loss of life: _____________________________


______________________________________________________________________________________
______________________________________________________________________________________
Other data and comments: _______________________________________________________________
______________________________________________________________________________________
Observers name and telephone number:_____________________________________________________
Report prepared by: ________________________________________
Page 28 of 40

Date: ______________

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix A4: Glossary of Terms


Abutment That part of the valley side against which the dam is constructed. The
left and right abutments of dams are defined with the observer looking
downstream from the dam.

Acre-foot A unit of volumetric measure that would cover one acre to a depth of one
foot. One acre-foot is equal to 43,560 cubic feet or 325,850 gallons.
Berm A nearly horizontal step (bench) in the upstream or downstream sloping
face of the dam.

Boil A disruption of the soil surface due to water discharging from below the
surface. Eroded soil may be deposited in the form of a ring (miniature
volcano) around the disruption.

Breach An opening through the dam that allows draining of the reservoir. A
controlled breach is an intentionally constructed opening. An uncontrolled
breach is an unintended failure of the dam.

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Conduit A closed channel (round pipe or rectangular box) that conveys water
through, around, or under the dam.
Control section A usually level segment in the profile of an open channel spillway above
which water in the reservoir discharges through the spillway.

Cross section A slice through the dam showing elevation vertically and direction of
natural water flow horizontally from left to right. Also a slice through
a spillway showing elevation vertically and left and right sides of the
spillway looking downstream.

Dam An artificial barrier generally constructed across a watercourse for the


purpose of impounding or diverting water.

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Dam failure The uncontrolled release of a dams impounded water.


Dam Operator The person(s) or unit(s) of government that has responsibility for the
operation and maintenance of dam.

Drain, toe or foundation, A water collection system of sand and gravel and typically pipes along the

or blanket downstream portion of the dam to collect seepage and convey it to a safe
outlet.
Drainage area (watershed) The geographic area on which rainfall flows into the dam.

Page 29 of 40

Drawdown The lowering or releasing of the water level in a reservoir over time or the
volume lowered or released over a particular period of time.

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Emergency A condition that develops unexpectedly, endangers the structural integrity


of the dam and/or downstream human life and property, and requires
immediate action.

Emergency Action Plan A formal document identifying potential emergency conditions that may
(EAP) occur at the dam and specifying preplanned actions to minimize potential
failure of the dam or minimize failure consequences including loss of life,
property damage, and environmental impacts.
Evacuation map A map showing the geographic area downstream of a dam that should be
evacuated if it is threatened to be flooded by a breach of the dam or other
large discharge.

Filter Those layers of sand and gravel in a drain that allow seepage through an
embankment to discharge into the drain without eroding the embankment
soil.

Freeboard Vertical distance between a stated water level in the reservoir and the top
of dam.

Gate, slide or sluice, An operable, watertight valve to manage the discharge of water from the
or regulating dam.

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Groin That area along the intersection of the face of a dam and the abutment.

Hazard classification A system that categorizes dams (high, significant, or low) according to the
degree of their potential to create adverse incremental consequences such
as loss of life, property damage, or environmental impacts of a failure or
misoperation of a dam.

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Height, dam The vertical distance between the lowest point along the top of the dam
and the lowest point at the downstream toe which usually occurs in the
bed of the outlet channel.

Hydrograph, inflow or A graphical representation of either the flow rate or flow depth at a specific
outflow, or breach point above or below the dam over time for a specific flood occurrence.

Incident Commander The highest predetermined official available at the scene of an emergency
situation.

Instrumentation An arrangement of devices installed into or near dams that provide


measurements to evaluate the structural behavior and other performance
parameters of the dam and appurtenant structures.

Inundation area or map The geographic area downstream of the dam that would be flooded by a
breach of the dam or other large discharge.

Page 30 of 40

Notification To immediately inform appropriate individuals, organizations, or agencies


about a potentially emergency situation so they can initiate appropriate
actions.
Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Outlet works An appurtenant structure that provides for controlled passage of normal
(principal spillway) water flows through the dam.

Piping The progressive destruction of an embankment or embankment foundation


by internal erosion of the soil by seepage flows.

Probable Maximum The theoretically greatest precipitation or resulting flood that is


Precipitation (PMP) or meteorologically feasible for a given duration over a specific drainage area
Flood (PMF) at a particular geographical location.

Reservoir The body of water impounded or potentially impounded by the dam.


Riprap A layer of large rock, precast blocks, bags of cement, or other suitable
material, generally placed on an embankment or along a watercourse as
protection against wave action, erosion, or scour.

Risk A measure of the likelihood and severity of an adverse consequence.

Seepage The natural movement of water through the embankment, foundation, or


abutments of the dam.

Slide The movement of a mass of earth down a slope on the embankment or


abutment of the dam.

Spillway (auxiliary The appurtenant structure that provides the controlled conveyance of
or emergency) excess water through, over, or around the dam.

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Spillway capacity The maximum discharge the spillway can safely convey with the reservoir
at the maximum design elevation.

Spillway crest The lowest level at which reservoir water can flow into the spillway.

Tailwater The body of water immediately downstream of the embankment at a


specific point in time.

Toe of dam The junction of the upstream or downstream face of an embankment with
the ground surface.

Top of dam (crest of dam) The elevation of the uppermost surface of an embankment which can
safely impound water behind the dam.

Page 31 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix B1: Resources Available


Locally available equipment, labor, and materials:
The County Commissioners have the following resources that can be utilized in the event of an emergency:

Other locally available resources include:

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two front-end loaders


two backhoes
one track hoe
two graders
two dump trucks
a sand borrow pit
a clay borrow pit
Contact the Coal County Road Departmentsee Emergency Services Contacts, page 16.

Sand and gravel supply

Ready-mix concrete supply

Bobs Dozer Service

Kerns Sand and Gravel

Burnett Concrete Co.

134 Elm Street


Rock City, OK

R.R. 2
Rock City, OK

231 Sixth Street


Dry Gulch, OK

407-555-XXXX

407-555-XXXX

407-555-XXXX

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Heavy equipment service


and rental

Tiller Construction Co.

Renfro Sand Products

405 Second Street


Dry Gulch, OK

334 Aston Ave.


Spring Lake, OK

407-555-XXXX

407-555-XXXX

Pumps

Diving contractor

Sand bags

A to Z Rental

Steve White

A to Z Rental

569 Seventh Street


Rock City, OK

2201 56th Street


Johnstown, OK

5643 Water Street


Johnstown, OK

407-555-XXXX

917-555-XXXX

917-555-XXXX

Page 32 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix B2: Location and Vicinity Maps


Page
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Appendix B3: Watershed Project Map

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Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

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Appendix B4: Evacuation Map

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Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix B5: Residents/Businesses/Highways at Risk


A major flood caused by a sudden breach of the dam is estimated to inundate six homes, three businesses,
and three highways. These homes and businesses (marked on the evacuation map) are located east of OK
Highway 44 and south of Chestnut Street in Rock City.
House/
business
no.*

Resident/business

Address

Phone no.

Travel
time **

5,000

0.3

5.4

(hr)

Max water
depth above
first floor
(ft)

10300 132nd St.

B-2

Larrys Hardware

3214 Chestnut

555-XXXX

11,400

0.9

0.8

B-3

Loris Music Shop

2288 Farm Road 555-XXXX

11,600

0.9

2.6

B-4

Bills Coffee Shop

1455 Sugar St.

555-XXXX

11,800

1.0

4.8

Terry and Ann Smith

4812 Chestnut

555-XXXX

13,600

1.1

3.0

Amos Hill

5500 Apple Road 555-XXXX

14,000

1.1

3.2

Allen and Ruth Jones

4814 Chestnut

555-XXXX

13,800

1.1

1.2

Mike and Carol Green 4902 Chestnut

555-XXXX

14,000

1.1

2.4

Stephanie Evans

555-XXXX

14,200

1.1

0.5

2,000

0.2

7.9

Interstate 40

10,000

0.8

3.4

OK Route 66

11,200

0.9

3.4

4910 Chestnut

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Fred and Ethel James

OK Highway 44

555-XXXX

Distance
Dstrm.
from dam
(ft)

* See appendix B4.


** Estimated time for breach wave (peak) to travel from dam to downstream locations
Basis for computation of evacuation area and flooding depths
Breach inundation study completed by NRCSAugust 2004
Hydraulic model used: NRCS TR20 (routing); TR60 (peak discharge); TR66 (hydrograph)
Model assumptions:
Sunny Day Breach (no inflow into the reservoir)
Water surface in reservoir prior to breach = 1,770.2 (top of dam)
Total volume of breach hydrograph = 2,340 ac-ft
Height of water at time of breach = 36 ft
Peak breach discharge = 49,700 cfs
Downstream area defined by field surveys consisting of 10 cross sections and 3 bridge openings

Page 36 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

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Appendix B6: Plan View of Dam

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Appendix B7: Profile of Principal Spillway

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Appendix B8: Reservoir Elevation-area-volume


and Spillway Capacity Data

Page 39 of 40

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

For Official Use Only Not for Distribution

Revision No. 1 9/25/2006

Appendix B9: National Inventory of Dams (NID) Data


Dam name: Rock Creek 23

State reg. agency: Oklahoma Water Resources


Board

State: OK

Spillway width: 100 ft

Federal ID: OKFP1896

Dam volume: 62,367 yd3

NID ID: OK11111

Federal funding: USDA NRCS

Latitude: 35.42875
Geodetic loc.: S23 T13N R21W
County: Coal
Stream: Rock Creek
Nearest town: Rock City
Distance to nearest town: 2 mi

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Operator: Coal County Cons. Distr.


Year completed: 1960
Dam length: 1,030 ft
Dam height: 40.7 ft

Max. discharge: 2,090 cfs


Max. storage: 2,340 ac-ft

Normal storage: 147 ac-ft


Surface area: 26 ac

Drainage area: 7.7 mi2


Hazard potential: High
EAP?: Yes
Inspection frequency: 5 yr
State regulated?: Yes

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Federal design: USDA NRCS

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Longitude: 99.19802

Federal constructed: USDA NRCS


Program auth.: Flood prevention
Watershed No.: 3015

Watershed name: Rock Creek


Service life: 50 yr

O&M insp. resp.: Coal Co. Cons. Distr.


O&M insp. current?: Yes
Population at risk: 45
Design hazard potential: High
Hazard potential class. year: 2006
EAP year: 2006
Sediment storage: 152 ac-ft
Flood storage: 773 ac-ft
Surcharge storage: 1,415 ac-ft
Other storage: 0 ac-ft
Principal spillway type: Concrete pipe
Primary aux. spillway type: Vegetated earth
Conduit height: 2.5 ft

Rock Creek Watershed, Dam No. 23, Coal County, OK NID OK11111

EAP and Dam Safety References


1. Arizona Department of Water Resources, Emergency Action Plan Requirements.
2. Colorado Dam Safety Manual.
3. Colorado Model for Preparing a Dam Safety Emergency Preparedness Plan.
4. Connecticut Department of Environmental Protection, Guidelines for Dam
Emergency Operation Plan
5. Federal Guidelines for the Evaluation of Hydropower Projects.
6. FEMA 64 - Federal Guidelines for Dam Safety: Emergency Action Planning for
Dam Owners.
7. FEMA 145 Dam Safety an Owners Guidance Manual.
8. Indiana Department of Natural Resources, Dam Safety Inspection Manual.
9. Interagency Committee on Dam Safety EAP Guidelines for Dam Owners.
10. Iowa Model Plan: An Emergency Preparedness Plan for Water Utilities
11. Maryland Model EAP for High Hazard Dams.
12. Maryland Model EAP for Significant Hazard Dams.
13. Nebraska Guide for Preparing Emergency Preparedness Plans for Dams and
Reservoirs.
14. New Hampshire Department of Environmental Services, Dam Bureau, Guidelines
for Development of Emergency Action Plans (Template).
15. New Jersey Department of Environmental Protection Guidelines for Developing
an Emergency Action Plan.
16. New York Department of Environmental Conservation Policies and Procedures
Manual.
17. Guidelines for Cooperation with the Alaska Dam Safety Program.
18. Pennsylvania Department of Environmental
Developing an Emergency Action Plan.

Protection,

Guidelines

for

19. Utah Dam Safety Guide to Emergency Action Plan Development and
Implementation.
20. Virginia Department of Conservation and Recreation, Emergency Action Plan for
Class I, Class II and Class III Impounding Structures.
21. Washington Department of Ecology, Simplified Emergency Action Plan Form.
22. West Virginia Department of Environmental Protection, Example Monitoring and
Emergency Action Plan.
23. Wisconsin Sample Emergency Action Plan Format.

APPENDIX F
ORGANIZATIONAL CHARTS

_____________________________

_____________________________

Appendix F shows examples of different options for dam safety organizations.


These examples show sections organized by function or expertise.
The fist example is of a state, such as California, with a large organization
utilizing functions. The organization is headed by a Chief then four branches with
unique functions for each. The administrative section handles all clerical,
personnel and business type functions for the organization. The Geology Branch
supports both engineering branches. The Inspection/Construction Branch is
responsible for all maintenance and construction inspections. The
Permit/Engineering Branch conducts permit reviews for new construction, and
alteration and repair reviews of existing dams. This Branch also conducts any in
depth evaluations. While it may be desirable to have the same engineer in
charge of construction who supervised the design review, efficiency can be
increased by separating staff by function and expertise.
This organization structure could be used for states with large or small programs
or engineers could be assigned to specific projects and work across the
functions.
The second example chart is set up by field of expertise and would generally be
applied to smaller programs where coverage of all aspects of dam safety is
desirable. A team approach is used for design review with construction of safety
inspections being handled by one or more field inspectors or all staff would
participate in field work.
Modifications of either of the above examples may be required depending on the
personnel and expertise available. For example, a state could have a permits
unit with engineers who are assigned projects and have responsibility of design
review and construction inspections. Similarly, the safety inspection unit would
handle the periodic inspection, modification design reviews and construction
inspections for all dams assigned to them. Then engineers could be rotated
between units for further cross-training.
State programs which require the owner to hire a qualified civil engineer to
perform inspections and attend a percentage of inspection for quality control
would result in a smaller organization and would probably require engineers to
perform a variety of tasks.

Governor

Agency

Department of Water Resources

Safety of Dams Division

Office of the Chief

Administrative
Section

Geology
Branch

Inspection/
Construction
Branch

Geographical
Region 1
Geographical
Region 2

Geographical
Region 3

Permit/
Engineering
Branch

Governor

Agency

Department of Water
Resources

Safety of Dams Division

Office of the Chief

Records
Management Unit

Hydrologic/
Hydraulic
Engineering

Administrative
Services

Geotechnical
Engineering

Structural/Civil
Engineering

APPENDIX G
TRAINING COURSES AND
MATERIALS

_____________________________

_____________________________

A.

FEDERAL DAM SAFETY TRAINING MATERIALS


1.

TRAINING AIDS FOR DAM SAFETY (TADS)


Inspections of Embankment Dams
Inspections of Mechanical Equipment
Inspections of Concrete Dams
Inspections of Spillways & Outlet Works
Inspections of Foundation & Abutment Works
Identification of Visual Deficiencies
Material Deficiencies
Organization of a Dam Safety Program
Organization of an Operation & Maintenance Program
Emergency Action Planning
Evaluation of Hydrologic Adequacy
Evaluation of Hydraulic Adequacy
Embankment Seismic & Static Stability
Concrete Seismic & Static Stability
Evaluation of Seepage Adequacy
Instrumentation

B.

DAM OWNER OPERATION AND MAINTENANCE MANUALS


1.
2.
3.
4.
5.
6.
7.
8.

C.

Georgia
Ohio
Wisconsin
New Hampshire
Texas
Wyoming
Virginia
Dam Safety; An Owners Guidance Manual (FEMA #145)

ASDSO TRAINING COURSES


1.
2.
3.
4.
5.
6.

Emergency Action Plans


Soil Mechanics for Dam Safety
Slope Stability Analysis of Embankment Dams
Seepage for Earth Dams
Hydraulic Analysis of Spillways
Dam Failure Analysis

7.
8.
9.
10.
11.
12.
D.

Construction Inspection for Dams and Ancillary Structures


Safety Evaluation of Existing Dams
Plant & Animal Impacts of Embankment Dams
Plans & Specifications Review
Earthquake Engineering for Dam Safety
Tailings Dams

REFERENCE MATERIALS (FROM ASDSO SUGGESTED REFERENCE


MATERIALS TIER 1, DATED DECEMBER 2000, TEIR 2 IS ALSO
AVAILABLE ON THE ASDSO WEBSITE)
1.

General Handbooks, Reference Manuals, Textbooks


Federal Emergency Management Agency. Dam Safety: An Owners Guidance
Manual, FEMA 145, July 1987, 117 pp.
Federal Emergency Management Agency. Glossary of Terms for Dam Safety, FEMA
148, Washington, D. C., February 1988, 18 pp.
Golz, Alfred R.[Ed.]. Handbook of Dam Engineering, New York: Van Nostrand
Reinhold, 1977, 793 pp.
Sherard, James L.; Woodward, Richard J.; Gizienski, Stanley F. and Clevenger ,
William A. Earth and Earth-Rock Dams: Engineering Problems of Design and
Construction. New York: John Wiley and Sons, Inc., 1963, 738 pp.
U.S. Bureau of Reclamation. Design of Small Dams, 3rd Edition, 1987, 860 pp.
U.S. Bureau of Reclamation. Glossary of Terms. Available on-line
http://www.usbr.gov/cdams/glossary.html
U.S. Bureau of Reclamation. Safety Evaluation of Existing Dams (SEED Manual),
1992. 178 pp.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.

2.

Dam Performance, Incidents, and Historic Failures (Includes Case


Histories, Analyses/Statistical Evaluations, Lessons Learned, Legal
Cases, Hearings, Books)
Federal Emergency Management Agency. Dam Safety: An Owners Guidance
Manual, FEMA 145, July 1987, 117 pp.
Guggenheim Productions. The Johnstown Flood, Washington, D.C.: Public
Broadcasting System, 1991, RT: 26 min.
Jansen, Robert B. Dams and Public Safety, Denver: U.S. Bureau of Reclamation
1983, 332 pp.
Simons, Li & Associates. Minimizing Embankment Damage During Overtopping
Flow, Federal Highway Administration, Report 88-181 and video, November 1988.

U.S. Bureau of Reclamation. Safety Evaluation of Existing Dams (SEED Manual),


1992. 178 pp.
U.S. Committee on Large Dams. Committee on Failures and Accidents to Large
Dams. Lessons from Dam Incidents, New York: American Society of Civil Engineers,
1975, 387 pp.
Web site: National Performance of Dams http://npdp.stanford.edu
3.

Inspections, Operating Procedures and Maintenance


American Concrete Institute Committee 201. Guide for Making a Condition Survey of Concrete in
Service, American Concrete Institute, 1984, 14 pp.
Association of State Dam Safety Officials. Woody Vegetation/Animal Impacts on Dams Workshop
Manual (not yet published).

Federal Emergency Management Agency. Dam Safety: An Owners Guidance


Manual, FEMA 145, July 1987, 117 pp.
STS Consultants, Ltd. Dam Safety Guidebook, Lansing, Michigan, 1985, ~180pp.
Tschantz, Bruce, et al. Bibliography on the Effects of Woody Vegetation on Dams,
ASDSO Steering Committee on Plant and Animal Penetration of Earthen Dams,
University of Tennessee, September 1999, 18 pp.
U.S. Bureau of Reclamation. Safety Evaluation of Existing Dams (SEED Manual),
1992. 178 pp.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
U. S. Department of Agriculture, Soil Conservation Service. Operations and
Maintenance Alternatives for Removing Trees from Dams, Technical Note 705, Fort
Worth, Texas: South Technical Service Center, April 1981, 8 pp.
4.

Hazard Classification, Inundation Studies, and Emergency


Preparedness
Federal Emergency Management Agency. Dam Safety: An Owners Guidance
Manual, FEMA 145, July 1987, 117 pp.
Federal Emergency Management Agency. Federal Guidelines for Dam Safety:
Emergency Action Planning for Dam Owners, FEMA 64, 1998, 36 pp.
Federal Emergency Management Agency. Federal Guidelines for Dam Safety:
Hazard Potential Classification Systems for Dams, FEMA 333, 1998, 90 pp.
Fread, Danny L. DAMBRK Revision 4, National Weather Service, 1998 (manual
only), or Fread, Danny L. and Lewis, J.M. FLDWAV, National Weather Service, 1996
(manual only).
Graham, Wayne. A Procedure for Estimating Loss of Life Due to Dam Failure, 1997
ASDSO Annual Conference, pp. 629-640.

U.S. Bureau of Reclamation. Safety Evaluation of Existing Dams (SEED Manual),


1992. 178 pp.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
5.

Monitoring, Instrumentation, and Surveillance


Federal Emergency Management Agency. Dam Safety: An Owners Guidance
Manual, FEMA 145, July 1987, 117 pp.
Federal Energy Regulatory Commission, Engineering Guidelines for the Evaluation
of Hydropower Projects.
U.S. Bureau of Reclamation, Embankment Dams Instrumentation Manual, 1995, 268
pp.
U.S. Bureau of Reclamation. Safety Evaluation of Existing Dams (SEED Manual),
1992. 178 pp.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.

6.

Dam Design and Analysis


(a)

General

Golz, Alfred R.[Ed.]. Handbook of Dam Engineering, New York: Van Nostrand
Reinhold, 1977, 793 pp.
Koerner, R. Designing with Geosynthetics, Prentice-Hall, Englewood Cliffs, N. J.,
1998, 777 pp.
Lowe, John III. Rapid Drawdown Stability/Filters and Sinkholes, 1997, Interagency
Committee on Dam Safety (ICODS) video series.
McCook, Danny. Chimney Filters - Design and Construction Considerations, 1997
ASDSO Annual Conference Proceedings, pp. 29-38.
McCook, Danny and Talbot, James. NRCS Filter Design Criteria: A Step by Step
Approach, Proceedings, ASDSO Annual Conference, Atlanta, Ga., September 1995, pp.
49-58.
Portland Cement Association. [Collection of Roller-Compacted Concrete Manuals]
U.S. Bureau of Reclamation. Design of Small Dams, 3rd Edition, 1987, 860 pp.
U.S. Department of Agriculture. Natural Resources Conservation Service/Soil
Conservation Service, National Engineering Handbook #4 (Some sections available online see table.)
(b) Earthen Dams and Tailings Dams
Casagrande,Arthur; Hirschfeld, Ronald C. and Bertram, George E. Embankment Dam Engineering:
Casagrande Volume. New York: John Wiley, 1973, 465 pp.

Cedergren, Harry R. Seepage, Drainage and Flownets, 3rd Ed.. New York: John
Wiley & Sons, 1997.

McCook, Danny and Talbot, James. NRCS Filter Design Criteria: A Step by Step
Approach, Proceedings, ASDSO Annual Conference, Atlanta, Ga., September 1995, pp.
49-58.
Sherard, James L.; Woodward, Richard J.; Gizienski, Stanley F. and Clevenger ,
William A. Earth and Earth-Rock Dams: Engineering Problems of Design and
Construction. New York: John Wiley and Sons, Inc., 1963, 738 pp.
STABL IV, REAM or SWASE slope stability analysis program manuals.

U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
U.S. Department of Agriculture. Natural Resources Conservation Service/Soil
Conservation Service, National Engineering Handbook #4 (Some sections available online see table.)
U. S. Department of the Interior, Mining Enforcement and Safety Administration
(MESA), Prepared by D'Appolonia Consulting Engineers, Inc. Engineering and Design
Manual, Coal Refuse Disposal Facilities, U. S. GPO: 1975, O-579-601, 9 chapters.
(c) Concrete Gravity Dams
U.S. Army Corps of Engineers. Gravity Dam Design, EM 1110-2-2200.
U.S. Bureau of Reclamation. Design of Gravity Dams, 1995, 556 pp.

U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
(d) Arch and Buttress Dams
U.S. Army Corps of Engineers. Arch Dam Design, EM 1110-2-2201, 1994, 238 pp.
U.S. Bureau of Reclamation. Design of Arch Dams, 1995, 915 pp.

7.

Construction Inspection and Materials Testing


American Society for Testing and Materials. ASTM Book of Standards: Cement;
Lime; Gypsum, Vol. 4.01. West Conshohocken, PA. 2001, 638 pp.
American Society for Testing and Materials. ASTM Book of Standards: ChemicalResistant Nonmetallic Materials; Vitrified Clay Pipe, Concrete Pipe, Fiber-Reinforced
Cement Producs; Mortars and Grouts; Masonry, Vol 4.05. 2001, 1244 pp.
American Society for Testing and Materials. ASTM Book of Standards: Concrete and
Aggregates, Vol 4.02. 2001, 780 pp.
American Society for Testing and Materials. ASTM Book of Standards: Plastic Pipe
and Building Products, Vol. 8.04. 2001, 1488 pp.
American Society for Testing and Materials. ASTM Book of Standards: Road and
Paving Materials; Vehicle-Pavement Systems, Vol 4.03.2001, 1126 pp.
American Society for Testing and Materials. ASTM Book of Standards: Soil and
Rock (I): D 420 to D 5779, Vol 4.08. 2001, 1658pp.
American Society for Testing and Materials. ASTM Book of Standards: Soil and
Rock (II): D5780 - latest; Geosynthetics, Vol 4.09. 2001, 1382 pp.

Sherard, James L.; Woodward, Richard J.; Gizienski, Stanley F. and Clevenger ,
William A. Earth and Earth-Rock Dams: Engineering Problems of Design and
Construction. New York: John Wiley and Sons, Inc., 1963, 738 pp.
U.S. Army Corps of Engineers. Construction Control for Earth and Rock-fill Dams,
EM 1110-2-1911, 1995.
U.S. Bureau of Reclamation. Design of Small Dams, 3rd Edition, 1987, 860 pp.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
8.

Spillway Capacity Evaluation, Modification, and Hydraulics


Brater, E.F., and King, H.W. Handbook of Hydraulics for the Solution of Hydraulic
Engineering Problems, New York: McGraw-Hill, Seventh Edition, 1996, 640 pp.
Chow, Ven Te. Open Channel Hydraulics, McGraw-Hill, 1959, 680 pp.
Davis, Calvin V. and Sorenson, Kenneth E. Handbook of Applied Hydraulics, New
York: McGraw-Hill, 1969 (1 v., various pagings).
Doubt, P.B., et. al. Hydraulics of Broad-Crested Spillways, Technical Release 39,
Soil Conservation Service, U.S. Department of Agriculture, 1968.
Elevatorski, Edward A. Hydraulic Energy Dissipators, New York: McGraw Hill,
1959, 214 pp.
Federal Highway Administration. Hydraulic Charts for the Selection of Highway
Culverts, Hydraulic Engineering Circular No. 5, December 1965, 54 pp.
Federal Highway Administration. Hydraulic Design of Energy Dissipators for
Culverts and Channels, Hydraulic Circular No. 14, US Dept of Transportation,
September 1983, 316 pp.
U.S. Army Corps of Engineers. Hydraulic Design of Spillways, Engineering Manual
EM 1110-2-1603, March 1965 (On-line document).
U.S. Army Corps of Engineers. Hydrologic Engineering Center. HEC-2 Water
Surface Profiles, Version 4.6k or HEC-RAS Program and Manual: Davis, CA., 1990
(revised September 1991).
U.S. Bureau of Reclamation. Design of Small Dams, 3rd Edition, 1987, 860 pp.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
U.S. Department of Agriculture. Natural Resources Conservation Service/Soil
Conservation Service, National Engineering Handbook #4 (Some sections available online see table.)

9.

Site Exploration, Foundations, Geology, Geotechnical


Casagrande,Arthur; Hirschfeld, Ronald C. and Bertram, George E. Embankment
Dam Engineering: Casagrande Volume. New York: John Wiley, 1973, 465 pp.

Cedergren, Harry R. Seepage, Drainage and Flownets, 3rd Ed.. New York: John
Wiley & Sons, 1997.
Deere, D.U. Dam Foundations, 1996, Interagency Committee on Dam Safety
(ICODS) video series.
Legget, Robert F. and Karrow, Paul F. Handbook of Geology in Civil Engineering,
McGraw-Hill, 1983.
Lowe, John III. Rapid Drawdown Stability/Filters and Sinkholes, 1997, Interagency
Committee on Dam Safety (ICODS) video series.
McCook, Danny. Chimney Filters - Design and Construction Considerations, 1997
ASDSO Annual Conference Proceedings, pp. 29-38.
Mitchell, James K. Ground Improvements for Dam Safety, 1999, Interagency
Committee on Dam Safety (ICODS) video series.
Terzaghi, Karl, Peck, Ralph, Mesri, Gholamreza. Soil Mechanics and Engineering
Practice, 1996.
Tschebotarioff, Gregory P. Foundations, Retaining and Earth Structures: The Art of
Design and Construction and Its Scientific Basis in Soil Mechanics, 1973.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
10.

Seismic Evaluation and Design Earthquake Selection


Cedergren, Harry R. Seepage, Drainage and Flownets, 3rd Ed.. New York: John
Wiley & Sons, 1997.
Hynes-Griffin, Mary and Franklin, Arley. Rationalizing the Seismic Coefficient
Method, USACE Misc. Paper GL-84 13, 1984.
Idriss,I.M. Behavior of Embankment Dams During Earthquakes (To be released as
part of Interagency Committee on Dam Safety (ICODS) video series).
Makdisi, F. I. and Seed, H. I. A Simplified Procedure for Estimating Earthquake
Induced Deformations in Dams and Embankments, EERC 77/19 August 1977.
National Research Council. Liquefaction of Soils During Earthquakes, Washington,
D.C.: National Academy Press, 1985, 240 pp.
National Research Council. Safety of Dams Flood and Earthquake Criteria,
Washington, D.C.: National Academy Press, 1985, 292 pp. (Available online,
http://www.nap.edu).
Seed, H. Bolton; Makdisi, Faiz I. and De Alba, Pedro. Performance of Embankment
Dams during Earthquakes, 1977, Report No. UCB/EERC-77/20, Earthquake
Engineering Research Center College of Engineering University of California
Berkeley.

11.

Hydrology, Design Flood and PMF

Brater, E.F., and King, H.W. Handbook of Hydraulics for the Solution of Hydraulic
Engineering Problems, New York: McGraw-Hill, Seventh Edition, 1996, 640 pp.
Chow, Ven Te. Handbook of Applied Hydrology, New York: McGraw-Hill, 1964.
Davis, Calvin V. and Sorenson, Kenneth E. Handbook of Applied Hydraulics, New
York: McGraw-Hill, 1969 (1 v., various pagings).
Federal Emergency Management Agency. Selecting and Accommodating Inflow
Design Floods for Dams, FEMA 94, 1998.
Federal Energy Regulatory Commission. Engineering Guidelines for the Evaluation
of Hydropower Projects.
U.S. Army Corps of Engineers. Hydrologic Engineering Center. HEC-1 Flood
Hydrograph Package, Version 4.0 or HEC-HMS (program and manual), Davis, CA,
1990.
U. S. Army Corps of Engineers, Hydrologic Engineering Center. HMR-52, Probable
Maximum Storm (Eastern United States), Users Manual and Software, March 1984, 89
pp. (all HMR manuals appropriate to region).
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
U.S. Department of Agriculture. Natural Resources Conservation Service/Soil
Conservation Service, National Engineering Handbook #4 (Some sections available online see table).
U. S. Department of Commerce, NOAA and U. S. Department of Army, Corps of
Engineers. Hydrometeorological Report No. 51 (HMR-51), Probable Maximum
Precipitation Estimates, United States East of the 105th Meridian, Washington, D. C.,
June 1978, 87 pp. (HMR reports appropriate to region).
12.

Overtopping Evaluation and Protection


Brater, E.F., and King, H.W. Handbook of Hydraulics for the Solution of Hydraulic
Engineering Problems, New York: McGraw-Hill, Seventh Edition, 1996, 640 pp.
Davis, Calvin V. and Sorenson, Kenneth E. Handbook of Applied Hydraulics, New
York: McGraw-Hill, 1969 (1 v., various pagings).
Simons, Li & Associates. Minimizing Embankment Damage During Overtopping
Flow, Federal Highway Administration, Report 88-181 and video, November 1988.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.

13.

Seepage and Piping


Cedergren, Harry R. Seepage, Drainage and Flownets, 3rd Ed.. New York: John
Wiley & Sons, 1997.
Koerner, R. Designing with Geosynthetics, Prentice-Hall, Englewood Cliffs, N. J.,
1998, 777 pp.

McCook, Danny. Chimney Filters - Design and Construction Considerations, 1997


ASDSO Annual Conference Proceedings, pp. 29-38.
McCook, Danny and Talbot, James. NRCS Filter Design Criteria: A Step by Step
Approach, Proceedings, ASDSO Annual Conference, Atlanta, Ga., September 1995, pp.
49-58.
Peck, Ralph. Seepage and Piping, 1995, Interagency Committee on Dam Safety
(ICODS) video series.
U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
U.S. Department of Agriculture. Natural Resources Conservation Service/Soil
Conservation Service, National Engineering Handbook #4 (Some sections available online see table).
Von Thun, Lawrence. Understanding Piping and Seepage Failure the No. 1 Dam
Safety Problem in the West, ASDSO West Regional Conference, 1996, pp. 3-21.
14.

Laws, Regulations, and Guidelines


Association of State Dam Safety Officials. Summary of State Laws & Regulations on
Dam Safety, July 2000, 163 pp.
Federal Emergency Management Agency. Federal Guidelines for Dam Safety:
Emergency Action Planning for Dam Owners, FEMA 64, 1998, 36 pp.
Federal Emergency Management Agency. Federal Guidelines for Dam Safety:
Hazard Potential Classification Systems for Dams, FEMA 333, 1998, 90 pp.
Federal Energy Regulatory Commission, Engineering Guidelines for the Evaluation
of Hydropower Projects.
National Research Council. Safety of Dams Flood and Earthquake Criteria,
Washington, D.C.: National Academy Press, 1985, 292 pp. (Available online,
http://www.nap.edu).
Web site: Washington State Guidelines (good model)
http://www.wa.gov/ecology/wr/dams/guidelines_part_1.pdf

15.

Dam Safety Programs/Management


Association of State Dam Safety Officials. Summary of State Laws & Regulations on
Dam Safety, July 2000, 163 pp.
Association of State Dam Safety Officials and the Federal Emergency Management
Agency. Model State Dam Safety Program, FEMA 316, March 1998, 211 pp.
Federal Emergency Management Agency. Dam Safety: An Owners Guidance
Manual, FEMA 145, July 1987, 117 pp.
U.S. Bureau of Reclamation. Safety Evaluation of Existing Dams (SEED Manual),
1992. 178 pp.

U.S. Bureau of Reclamation. Training Aids for Dam Safety, Denver, 1988.
Web site: Washington State Guidelines:
http://www.wa.gov/ecology/wr/dams/guidelines_part_1.pdf
16.

Risk Assessment
American Society of Civil Engineers. [Risk Guidelines]- not yet published.
Federal Emergency Management Agency. Dam Safety: An Owners Guidance Manual,
FEMA 145, July 1987, 117 pp.
Graham, Wayne. A Procedure for Estimating Loss of Life Due to Dam Failure, 1997
ASDSO Annual Conference, pp. 629-640.
National Research Council. Safety of Dams Flood and Earthquake Criteria, Washington,
D.C.: National Academy Press, 1985, 292 pp. (Available online, http://www.nap.edu).
U.S. Bureau of Reclamation. Guidelines to Decision Analysis, ACER Technical
Memorandum No. 7, Denver, 1986, 223 pp.
U.S. Committee on Large Dams. Eighteenth Annual USCOLD Lecture: Managing the
Risks of Dam Project Development, Safety and Operation, 1998.
Von Thun, Lawrence; Bowles, David and McCann, Martin. Workshop on Risk
Assessment, ASDSO Technical Seminar, Oct. 1999, 325 pp.

See ASDSO Website for links to contacts and training material.

APPENDIX H
SAMPLE DATABASE FIELDS

_____________________________

_____________________________

DESCRIPTIONS & DEFINITIONS


of Fieldnames

From National Inventory of Dams Field Definitions


Record
Assigned by TEC.
Dam Name
Official name of the dam. No abbreviations used unless a part of the official name. For
dams that do not have an official name, the popular name is used.
Other Dam Names
Reservoir name or names in common use other than the official name of the dam.
Names are separated with semi-colons. Leave blank if not applicable.
Dam Former Name
Any previous reservoir or dam name(s), if changed. Names are separated with semicolons.
State or Federal Agency ID
Official State or Agency identification number for the dam.
NID ID
The official NID identification number for the dam, known formerly as the National ID.
This is a required field, and must have an entry for each dam included in the NID. This
field is used as the unique identifier for each dam record. The first two characters of the
identity are the state two-letter abbreviation, based on the location of the dam. The last
five characters of the identity are a unique number (AB#####).
The NID ID is the Corps Identification Number assigned to each dam in the 1995-96
NID update, under the National Dam Inspection Program (P.L. 92-367). Once assigned,
this number should be not changed. However, the following guidelines are provided for
assignment of ID numbers for new dams. Each new dam will be assigned an NID ID
number by the state or federal coordinator. NID ID numbers will not be reused. If a dam
is retired or is otherwise not longer in existence, that ID number is retired. The state
coordinator is responsible for assigning ID numbers for all dams, regardless of
ownership. The numbers may not necessarily be continuous, because of a previously
established scheme which assigned certain number ranges to federal agencies.
Continued use of this numbering scheme for new dams is at the discretion of the state
coordinator. Please contact ASDSO or USACE Dam Safety Team for further information

on the process of assigning NID ID numbers or if an alternative number sequence is


necessary to meet the needs of the state.
Longitude
Longitude at dam centerline as a single value in decimal degrees.
Latitude
Latitude at dam centerline as a single value in decimal degrees.
Section, Township, Range Location
Dam location in terms of Section, Township, and Range. Meridian location is included if
it is needed to locate the dam. (Optional field)
County
Name of the county in which the dam is located.
River or Stream
Official name of the river or stream on which the dam is built. If the stream is unnamed,
it is identified as a tributary ("TR") to the named river. If the dam is located offstream,
the name of the river or stream is entered plus "-OS" or "OFFSTREAM".
Nearest City/Town
Name of the nearest city, town, or village that is most likely to be affected by floods
resulting from the failure of the dam.
Distance to Nearest City/Town
Distance from the dam to the nearest affected City/Town/Village, to the nearest mile
(and tenth if appropriate).
Owner Name
Name of the owner of the dam.
Owner Type
Code indicating owner type:
F for Federal;
S for State;
L for Local Government;
U for Public Utility;
P for Private.
Dam Designer-----New field
Name of the principal firm(s) or agency accomplishing design of dam and major

appurtenant operating features, and major modifications. The original designer is listed
first then modification designers (if applicable). The names are separated with semicolons.
Private Dam On Federal Property
Code indicating whether the dam is a private dam located on federal property:
Y for Yes;
N for No.
Dam Type
Code indicating the type of dam (in order of importance): RE for Earth;
ER for Rockfill;
PG for Gravity;
CB for Buttress;
VA for Arch;
MV for Multi-Arch;
CN for Concrete;
MS for Masonry;
ST for Stone;
TC for Timber Crib;
OT for Other.
Codes are concatenated if the dam is a combination of several types. For example, the
entry CNCB would indicate a concrete buttress dam type.
Core-----New field
Code indicating the position, type of watertight member and certainty.
Position:
F for upstream facing;
H for homogeneous dam;
I for core;
X for unlisted/unknown;
Type: A for bituminous concrete;
C for concrete;
E for earth;
M for metal;
P for plastic;
X for unlisted/unknown;
Certainty:
K for known;
Z for estimated;
Foundation-----New field
Code for the material upon which dam is founded, and certainty.
Foundation:

R for rock;
RS for rock and soil;
S for soil;
U for unlisted/unknown.
Certainty:
K for known;
Z for estimated.
Purposes
Codes indicating the purposes for which the reservoir is used:
I for Irrigation;
H for Hydroelectric;
C for Flood Control and Storm Water Management;
N for Navigation;
S for Water Supply;
R for Recreation;
P for Fire Protection, Stock, Or Small Farm Pond;
F for Fish and Wildlife Pond;
D for Debris Control;
T for Tailings;
O for Other.
The order indicates the relative decreasing importance of the purpose. Codes are
concatenated if the dam has multiple purposes. For example, SCR would indicate the
primary purposes, Water Supply and Flood Control and Storm Water Management,
followed by Recreation.
Year Completed
Year when the original main dam structure was completed, optionally followed by code
("E") to indicate an estimated date. If unknown, and reasonable estimate is unavailable,
"0000" will be used.
Year Modified-----New field
Year (four digit) when major modifications or rehabilitation of dam or major control
structures were completed. Major modifications are defined as a structural, foundation,
or mechanical construction activity which significantly restores the project to original
condition; changes the projects operation; capacity or structural characteristics (e.g.
spillway or seismic modification); or increases the longevity, stability, or safety of the
dam and appurtenant structures. Entries should be followed by one of more of the
following codes indicating type of modification:
S for structural;
F for foundation;
M for mechanical;
E for seismic;
H for hydraulic;
O for other.

Up to ten modifications can be entered, separated by semicolons.


Dam Length
Length of the dam, in feet, which is defined as the length along the top of the dam. This
length also includes the spillway, powerplant, navigation lock, fish pass, etc., where
these form part of the length of the dam. If detached from the dam, these structures
should not be included.
*** Because the "height of dam" definition used by each of the participating State and
Federal agencies varies, three different height fields are provided in the NID database.
Each agency is requested to enter values for the height field item(s) that most closely
correspond to the height of the dam definition(s) used by the agency. Height field items
#24-26 that do not correspond to agency data maybe left blank***
Dam Height
Height of the dam, in feet to the nearest foot, which is defined as the vertical distance
between the lowest point on the crest of the dam and the lowest point in the original
streambed.
Structural Height
Structural height of the dam, in feet to the nearest foot, which is defined as the vertical
distance from the lowest point of the excavated foundation to the top of the dam.
Hydraulic Height
Hydraulic height of the dam, in feet to the nearest foot, which is defined as the vertical
difference between the maximum design water level and the lowest point in the original
streambed.
NID Height
A calculated field based on the maximum value of field items #25 Dam Height, #26
Structural Height, and #27 Hydraulic Height, providing a single height value to facilitate
database queries.
Maximum Discharge
Number of cubic feet per second (cu ft/sec) which the spillway is capable of discharging
when the reservoir is at its maximum designed water surface elevation.
Maximum Storage
Maximum storage, in acre-feet, which is defined as the total storage space in a reservoir
below the maximum attainable water surface elevation, including any surcharge
storage.

Normal Storage
Normal storage, in acre-feet, which is defined as the total storage space in a reservoir
below the normal retention level, including dead and inactive storage and excluding any
flood control or surcharge storage.
NID Storage
A calculated field based on the maximum value of field items #30 Maximum Storage
and #31 Normal storage, providing a single storage value to facilitate database queries.
Surface Area
Surface area, in acres, of the impoundment at its normal retention level.
Drainage Area
Drainage area of the dam, in square miles, which is defined as the area that drains to a
particular point (in this case, the dam) on a river or stream.
Downstream Hazard Potential
Code indicating the potential hazard to the downstream area resulting from failure or
misoperation of the dam or facilities:
L for Low;
S for Significant;
H for High.
Definitions, as accepted by the Interagency Committee on Dam Safety, are as follows:
1. LOW HAZARD POTENTIAL
Dams assigned the low hazard potential classification are those where failure or
misoperation results in no probable loss of human life and low economic and/or
environmental losses. Losses are principally limited to the owners property.
2. SIGNIFICANT HAZARD POTENTIAL
Dams assigned the significant hazard potential classification are those dams where
failure or misoperation results in no probable loss of human life but can cause economic
loss, environment damage, disruption of lifeline facilities, or impact other concerns.
Significant hazard potential classification dams are often located in predominantly rural
or agricultural areas but could be located in areas with population and significant
infrastructure.
3. HIGH HAZARD POTENTIAL
Dams assigned the high hazard potential classification are those where failure or
misoperation will probably cause loss of human life.
Hazard Potential
Classification

Low

Loss of Human Life

None expected

Economic, Environmental, Lifeline Losses

Low and generally limited to owner

Significant

None expected

Yes

High

Probable. One or more


expected

Yes (but not necessary for this


classification)

Emergency Action Plan


Code, indicating whether the dam has an Emergency Action Plan (EAP) developed by
the dam owner. An EAP is defined as a plan of action to be taken to reduce the
potential for property damage and loss of life in an area affected by a dam failure or
large flood.
Y for Yes;
N for No;
NR for Not Required by submitting agency.
Inspection Date
Date of the most recent inspection of the dam prior to the transmittal of the data by the
submitting agency. Date fields require day, month and year information, and various
alphanumeric or numeric combinations are used.
Inspection Frequency---New Field
Scheduled frequency interval for periodic inspections, in years. NOTE: Replacement for
"Phase I Inspection" field.
State Regulated Dam---New Field
Code indicating whether the dam is "State Regulated" under the National Dam Safety
Program Act:
Y for Yes;
N for No.
A "State Regulated Dam" is defined as a dam meeting the NID criteria for which the
State executes one or more of the following general responsibilities: (a) Inspection; (b)
Enforcement; or (c) Permitting.
State Regulatory Agency
Name of the primary state agency with regulatory or approval authority over the dam.
***NOTE: Following four fields are optional submissions for states***
Spillway Types
Code that describes the type of spillway:
C for Controlled;
U for Uncontrolled;
N for None.

Spillway Width
Width of the spillway, to the nearest foot, available for discharge when the reservoir is at
its maximum designed water surface elevation.
Outlet Gates---New Field
Code(s) that describe the type of spillway and controlled outlet gates, if any:
X for None;
U for Uncontrolled;
T for Tainter (radial);
L for Vertical Lift;
R for Roller;
B for Bascule;
D for Drum;
N for Needle;
F for Flap;
S for Slide (sluice gate);
V for Valve;
O for Other controlled.
Enter up to five types in decreasing size order, separated by semicolons, followed by
number of gates.
Volume of Dam
Total number of cubic yards occupied by the materials used in the dam structure.
Portions of powerhouse, locks, and spillways are included only if they are an integral
part of the dam and required for structural stability.
*** NOTE: The remaining fields are federal submissions only ***
Number of Locks
Number of existing navigation locks for the project.
Length of Locks
Length of the primary navigation lock to the nearest foot.
Lock Width
Width of the primary navigation lock to the nearest foot.
*** NOTE: See Table below for required codes for the following fields***

Federal Agency Involvement in Funding


Code identifying which federal agency was involved in funding of the dam. Codes are
concatenated if several agencies were involved.
Federal Agency Involvement in Design
Code identifying which federal agency was involved in the design of the dam. Codes are
concatenated if several agencies were involved.
Federal Agency Involvement in Construction
Code identifying which federal agency was involved in the construction of the dam.
Codes are concatenated if several agencies were involved.
Federal Agency Involvement in Regulatory
Code identifying which federal agency is involved in the regulation of the dam. Codes
are concatenated if several agencies are involved.
Federal Agency Involvement in Inspection
Code identifying which federal agency is involved in the inspection of the dam. Codes
are concatenated if several agencies are involved.
Federal Agency Involvement in Operation
Code identifying which federal agency is involved in the operation of the dam. Codes
are concatenated if several agencies are involved.
Federal Agency Owner
Code identifying which federal agency partly or wholly owns the dam. Codes are
concatenated if several owners are involved.
Federal Agency Involvement in Other
Code identifying which federal agency is involved in other aspects of the dam. Codes
are concatenated if several owners are involved.
Source Agency
Code identifying the federal or state source agency that has provided the field data on
the dam. The code used for a state source agency is the two letter abbreviation for the
state; the code used for a federal source agency is the Federal Agency Code defined in
the table below.
State
The two letter abbreviation for the state in which the dam is located. A calculated field
based on the field item #6 NIDID.

Congressional Person
The congressional person representing the district where the dam is located. A
calculated field based on the latitude/longitude coordinate of the dam.
Political Party
The political party of the congressional person. A calculated field based on the
congressional person and district fields.
Congressional District
The congressional district where the dam is located. A calculated field based on the
latitude/longitude coordinate of the dam.

FEDERAL AGENCY CODE TABLE


Federal Agency Name

Federal Agency Code

Department of Agriculture:
Natural Resources Conservation Serv
Formerly Soil Conservation Serv (SCS)

USDA NRCS

Forest Service

USDA FS

Rural Housing Service


Formerly Farmers Home Loan

USDA RHS

Department of Defense:
US Army Corps of Engineers

CE

US Army

DOD USA

US Navy

DOD USN

US Air Force

DOD USAF

Department of Interior:
Bureau of Reclamation

DOI BR

Bureau of Indian Affairs

DOI BIA

Bureau of Land Management

DOI BLM

Fish and Wildlife Service

DOI FWS

Geological Survey

DOI GS

National Park Service

DOI NPS

Department of Labor:
Mine Safety and Health Administration

DOL MSHA

Department of State:
International Boundary and Water
Commission

IBWC

Department of Energy:
Federal Energy Regulatory Commission

DOE FERC

Nuclear Regulatory Commission

US NRC

Tennessee Valley Authority

TVA

Examples of Other Fieldnames not included in National Inventory of


Dams
Owners Address
Owners Agent or Responsible Person
Primarily used for mailing purposes. The name of the person responsible for
correspondence inspection contacts, etc.
Emergency Phone Number
The phone number to be called in case of an emergency.
Dam Crest Elevation
Approximate USGS datum (to the nearest 0.1 foot). Top of parapet wall when
applicable.
Parapet
Parapet code number as defined below:
1. Dam has a parapet wall and the wall is adequate to impound water
and/or for flood routing.
2. Dam has a parapet wall, however, it is not adequate for flood routing.
3. Dam does not have a parapet wall.
Note: If parapet code is 1, the dam crest elevation is taken to be the top
of the parapet wall.

Crest Width
Normal to the dam axis at the narrowest point (in feet). Parapet widths are never used.
Spillway Crest
Elevation of the lowest point of the spillway in the control section excluding any
flashboard, gate, etc. (to the nearest 0.1 foot).
Spillway Type
1.
Earth or soil
2.
Concrete
3.
Rock channels
4.
Masonry or placed stone
5.
Corrugated metal pipe
6.
Reinforced concrete pipe
7.
Steel pipe
8.
Tile

Total Freeboard
Vertical distance from dam crest to spillway crest (to the nearest 0.1 foot).
Operating Freeboard
Vertical distance from the dam crest to the certified water storage elevation; i.e. top of
flashboards, restricted elevation, etc. (to the nearest 0.1 foot).
Certified Storage Level
Maximum certified water surface elevation.
Gating Code
Gating code for spillway. Gates are any movable structure used to control the
reservoir level including but not limited to radial gates, sluice gates and flashboards.
1.
2.
3.

Ungated, Unrestricted
Gated, Unrestricted.
Seasonally Restricted Gates. Storage is permitted above the spillway
crest during a specified season.
4.
Restricted Gates. Gates must be opened or removed only prior to
impending flood flows.
5.
Restricted. Storage is restricted to a specified elevation which is different
from the top of gates or spillway crest. Normally the restriction is a
specified elevation below the spillway crest.
6.
Seasonally Restricted. Storage is reduced seasonally to a specified level
which is different from the spillway crest. The operating freeboard entered
is that to the restricted level.
Note: Dams that are certified 1 foot or less below the spillway crest to control
wave splash should have operating freeboard which includes the 1 foot, but the 1
foot should not be considered in determining gating code.

Maximum Surcharge Storage


Storage between spillway crest and dam crest (or between top of gates or flashboards if
applicable).
Basin Impairment
Impairment exists only if either of the following conditions exist:
a.
Water is diverted out of drainage basin.
b.
Upstream control impairs runoff.
Impaired Yes (1) or
No (2)
Basin Location
a.
Latitude
b.
Longitude
minute).

Mean latitude of the drainage basin (to the nearest minute).


Mean longitude of the drainage basin (to the nearest

Mean Annual Precipitation


Mean annual precipitation on the drainage basin (to the nearest 0.1 inch).
National Forest
If a dam is located within a National Forest.
Application Status
The most current status of an application.
Type of Flood Estimate
Probability of flood estimate or probable maximum flood.
Date of Flood Estimate
Date the flood estimate was completed.
Storm Precipitation
Total design storm precipitation (to the nearest 0.1 inch).
Precipitation Duration
Duration of design storm precipitation (in hours).
Time of Concentration
Time of concentration used in hydrology study (to the nearest hundredth of an hour).
Storm Runoff
Total design storm runoff volume from the drainage basin (to the nearest acre-foot).
Peak Flood Inflow
Peak design storm inflow to the reservoir (to the nearest cfs).
Peak Flood Inflow
Peak design storm inflow to the reservoir (in cubic feet per square mile).

Routed
Was the storm routed?
Yes (1)
No (2)
Peak Flood Discharge
Peak design storm outflow from the reservoir (to the nearest cfs).
Residual Freeboard
Residual freeboard measured from the maximum reservoir flood stage to the dam crest
(to the nearest 0.1 foot).
Maximum Flood Stage
Maximum reservoir flood stage elevation (to the nearest 0.1 foot).
Outlet Description
The description could include diameter or size of the outlet as well as type of outlet
(CMP, clay tile, etc.).
Outlet Capacity
The full head flow capacity of the outlet works at the normal reservoir water surface
elevation, in cfs.
Outlet Inspection
Date of last internal outlet inspection.
Inspection Date
Date when last safety inspection was conducted.
Instrumentation
Only used when instruments including piezometers, crest monuments, seepage weirs,
slope indicators, accelerograms present.
1.
Piezometers
2.
Crest monuments
3.
Seepage wiers
4.
Slope indicators
5.
Accelerograms
6.
Other

APPENDIX I
BUDGET PREPARATION

_____________________________

_____________________________

STAFFING LEVEL REQUIREMENTS: EXAMPLE STATE DAM SAFETY


PROGRAM
Chapter VI discusses program staffing and funding. This appendix is intended as
a supplement to Chapter VI.
For any state dam safety program to be effective and accountable, personnel
levels must be sufficient to satisfy the statutory mandates. Each state must
assess its particular needs based on its legislative, organizational, geographic,
topographic and political constraints, some of which are described above under
Chapter VI, section I. Due to the wide range of these constraints from state to
state, it is difficult to provide precise guidelines for the number of inspections one
engineer should be expected to perform in a year. This is equally true of each of
the other functions of a state dam safety program. With these limitations in mind,
an attempt has been made to provide guidelines that should provide assistance
in the preparation of a budget for a state dam safety program.
INSPECTION OF EXISTING DAMS:
If inspection frequency is not set by law, annual inspections of high hazard
potential dams, biennial inspections of significant hazard potential dams and
inspections every five years for low hazard potential dams are recommended.
Each dam should be inspected at least once every five years. Some states
require the owner to hire a qualified engineer to conduct the inspections. When
this is the case, a staff of one engineer per 250 - 400 inspections would be
required to review the inspection reports and to attend 20 percent of the
inspections for quality control purposes. Most state programs conduct safety
inspections utilizing state employed engineers. For budget preparation, the
recommended time for a detailed visual inspection of one existing high hazard
potential dam including file review, preparation, travel time, on-site inspection
time, engineering analysis and report writing is four (4) person-days. For
significant and low hazard potential dams the recommended time to budget for
inspections are three (3) and two (2) days respectively. It is desirable to include
more than one person on the inspection team. There are many reasons for
including more than one person on the inspection including training, personal
safety, and special needs at the dam. Special needs include surveying and the
complexities of the particular dam being inspected that may require staff
members with different areas of expertise.
APPLICATION APPROVAL:
Chapter II describes the tasks included in the processing of an application.
Statutory and internal policy controls may define the time allocated to review and
approve or deny an application. The complexity of the application under review,
the completeness of the data provided, the experience of the staff assigned to
the review, etc., are factors in determining the length of a particular review. The

length of the permitting process can vary greatly; however, a recommended


engineering review time for a complete application is 20 person days, with an
additional 5 days for clerical/administrative tasks. The engineering review should
include a site inspection as part of the application review. Reviews should also
include the major aspects of the engineering design for the dam being proposed.
Among these aspects are hydrologic, hydraulic, geotechnical, seismic, and
stability considerations. Review and approval of the Emergency
Action Plan (EAP), if required, is also part of the application approval.
CONSTRUCTION ASSURANCE:
Although it is the owner's responsibility (through the owner's engineer) in most
states to assure that any construction is completed according to the approved
application and that all unforeseen conditions are properly handled, review of
construction activity by the state is recommended. Inspection and approval of all
foundation preparation is essential and is a part of most programs. Inspection of
the outlet, the main structure, and the spillway should also be conducted. In
addition, many projects include prefinal and final inspections. A recommended
inspection length is two (2) person days including preparation, travel and report
preparation. The recommended time could double in those states where travel
distances are significant. The recommended number of construction assurance
inspections per new dam is fifteen (15). Ten (10) construction assurance
inspections are recommended for repair of existing dams. The above inspection
frequencies include review of quality assurance records of the owner's engineer.
Changes to the approved application during construction require additional
review. The time required for such additional review is not included in this section
but is included in the application approval section above.
FOLLOW-UP ON DEFICIENCIES:
Inspections of operational dams frequently reveal deficiencies that require
correction. The inspection report shall identify deficiencies and include an
appropriate schedule to complete corrective actions. A program to follow up and
assure that these actions are taken should be part of all state programs. The
amount of time required to conduct a follow-up inspection can vary, however, for
operating dams it can take an average of three (3) persons-days per deficiency.
For budget preparation purposes, it should be anticipated that deficiencies will
occur at 20 percent of the dams inspected.
Contacts with owners of unsafe dams to bring about the remediation of unsafe
conditions is also an essential part of follow-up activities. The actual amount of
time required can vary. It is recommended that 15 person-days per unsafe dam
be used in budget preparation. The 15 person-days recommended does not
include application review time for repair, reconstruction, breach or removal of
the dam. In most cases a state will have to prioritize follow-up activity since the
time required can easily exceed the available staff.

ENFORCEMENT:
In the event that progress toward correction of deficiencies is not satisfactory,
enforcement actions must be pursued. Enforcement can be very time consuming.
For budget estimates a recommended time for each enforcement action is 50
person-days for the dam safety engineering staff. The estimated time includes
the time of the legal staff as well as that of the engineering staff for preparation,
etc. The above estimates assume that actions taken by the technical staff have
been properly documented to support the enforcement actions.
TRAINING:
Education and training of staff is an important part of an effective program. It is
recommended that a minimum of 5 percent of staff time be devoted to specific
training provided by short courses, etc. as described in Chapter VII.
ADMINISTRATION/OVERHEAD:
Depending on the agency within which the dam safety program is placed and the
overall state government organizational structure, the administration of the dam
safety program can require significant amounts of time. The administrator may be
responsible for overseeing other programs as well. The recommended
administrative staffing time is 30 percent of the technical staff time described
above. The above estimates include supervision and support of the program.

Example Program
Staffing Level Requirements

Example program: 200 Dams:


70 High hazard potential,
60 Significant hazard potential,
70 Low hazard potential
with inspection frequency as follows:
High hazard potential, annual;
Significant hazard potential, every two years; and
Low hazard potential, every five years

No. of
Tasks (Dams)

TASK

Person-Days
Per Task

Total
Person Days

Average annual inspections2


High hazard potential
Significant hazard
Low hazard potential
Special Conditions,
Requests
Training new staff

70/yr
60/2 = 30/yr
70/5 = 14/yr

4
3
2

280
90
28

30
1

2
15

60
15

Sub-Total: Annual Inspection Days = 473 days

Person Tasks
per Task

Person-Day
per Task

Total
Person-Days

Application approval:
New Dams

10

20

200

Repair Existing Dams

10

10

100

Emergency Action Plans (EAP) 25

125

Sub-Total: Application Approval Days = 425

Person Tasks
Per year

Person-Day
per Task

Total
Person-Days

Construction Assurance:
New Dams

10

303

300

Repair Existing Dams

10

204

200

Sub-Total: Construction Assurance Days = 500


Follow-up on deficiencies:
114 dams/yr. X 20% =

23

69

Unsafe dams

15

30

Enforcement:

50

200

Summary of Tasks:
Inspections:
Applications:
Construction:
Follow-ups:
Unsafe Dams:
Enforcement:
TOTAL:

473 days
425 days
500 days
69 days
30 days
200 days
1,697 days

Professional Development/
Continuing Education:

1697 X 5% = 85 days

Total Engineering/
Technical Staff:
1697 + 85 = 1782 days/(225 days/FTE/yr .) = 7.9 FTE
Administrative/
Clerical:

1782 X 30% = 535 days/(225 days/FTE/yr .) = 2 .4 FTE

TOTAL STAFFING REQUIRED:


(For Inventory of 200 dams)
3
4

2 person-days per inspection X 15 inspections per year = 30


2 person-days per inspection X 10 inspections per year = 20

10.3 FTE

Note:
1)

In geographically large states without regional dam safety offices, a


"distance multiplier" of 1.5 may be used to estimate the number of persondays required for field inspections.

2)

"Construction Assurance" would include site inspections during:


A.
Foundation Preparation
B.
Embankment Construction
C.
Low Level Outlet Structure Construction/Placement
D.
Spillway Construction
E.
Final Review

3)

In states with seismic risk, a "seismic multiplier" of 1.5 may be used to


estimate the number of person-days required for application approval.

4)

Initial inspection of an existing dam and production of a Phase I inspection


report will likely take up to between 10 to 15 man-days.

5)

Other administrative activities must be considered

Chapter VI lists other costs which must be considered in the budgeting


process.

APPENDIX J
PUBLIC OUTREACH TOOL SAMPLES

_____________________________

CASE 1: OHIO
CASE 2: PENNSYLVANIA
CASE 3: CALIFORNIA

_____________________________

DE
PA

OHIO

E
TM

NT

OF NATUR
AL
R

RCES
OU
ES

DIVISION OF WATER

Ohio Department of Natural Resources


Division of Water Fact Sheet

Fact Sheet 9427

Dam Safety: Rodent Control

odents such as the groundhog (woodchuck), muskrat, and beaver are attracted to dams and reservoirs, and can be quite dangerous to the structural integrity and proper performance of the embankment and spillway. Groundhog and muskrat burrows
weaken the embankment and can serve as pathways for
seepage. Beavers may plug the spillway and raise the
pool level. Rodent control is essential in preserving a
well-maintained dam.

Groundhog
The groundhog is the largest member of the squirrel
family. Its coarse fur is a grizzled grayish brown with
a reddish cast. Typical foods include grasses, clover,
alfalfa, soybeans, peas, lettuce, and apples. Breeding
takes place during early spring (beginning at the age of
one year) with an average of four or five young per
litter, one litter per year. The average life expectancy
is two or three years with a maximum of six years.
Occupied groundhog burrows are easily recognized in
the spring due to the groundhogs habit of keeping them
cleaned out. Fresh dirt is generally found at the mouth
of active burrows. Half-round mounds, paths leading
from the den to nearby fields, and clawed or girdled trees
and shrubs also help identify inhabited burrows and
dens.
When burrowing into an embankment, groundhogs
stay above the phreatic surface (upper surface of seepage
or saturation) to stay dry. The burrow is rarely a single
tunnel. It is usually forked, with more than one entrance
and with several side passages or rooms from 1 to 12 feet
long.

Groundhog Control
Control methods should be implemented during early
spring when active burrows are easy to find, young
groundhogs have not scattered, and there is less likelihood of damage to other wildlife. In later summer, fall,
and winter, game animals will scurry into groundhog
burrows for brief protection and may even take up
permanent abode during the period of groundhog hibernation.

Groundhogs can be controlled by using fumigants or by


shooting. Fumigation is the most practical method of
controlling groundhogs. Around buildings or other high
fire hazard areas, shooting may be preferable. Groundhogs will be discouraged from inhabiting the embankment if the vegetal cover is kept mowed.
Gas cartridges may be purchased at garden supply
and hardware stores. Information about the use and
availability of gas cartridges may be obtained from
county extension offices, or the U.S. Department of
Agriculture at the following address:
The USDA
Animal and Plant Health Inspection Service
Wildlife Services
200 North High Street, Room 622
Columbus, Ohio 43215
(614) 469-5681
Muskrat
The muskrat is a stocky rodent with a broad head, short
legs, small eyes, and rich dark brown fur. Muskrats are
chiefly nocturnal. Their principal food includes stems,
roots, bulbs, and foliage of aquatic plants. They also feed
on snails, mussels, crustaceans, insects, and fish. Usually three to five litters, averaging six to eight young per
litter, are produced each year. Adult muskrats average
one foot in length and three pounds in weight. The life
expectancy is less than two years, with a maximum of
four years. Muskrats can be found wherever there are
marshes, swamps, ponds, lakes and streams having calm
or very slowly moving water with vegetation in the water
and along the banks.
Muskrats make their homes by burrowing into the
banks of lakes and streams or by building houses of
bushes and other plants. Their burrows begin from 6 to
18 inches below the water surface and penetrate the
embankment on an upward slant. At distances up to 15
feet from the entrance, a dry chamber is hollowed out
above the water level. Once a muskrat den is occupied,
a rise in the water level will cause the muskrat to dig
farther and higher to excavate a new dry chamber.
Damage (and the potential for problems) is compounded
where groundhogs or other burrowing animals construct
their dens in the embankment opposite muskrat dens.

Continued on back!

Muskrat Control
Barriers to prevent burrowing offer the most practical
protection to earthen structures. A properly constructed
riprap and filter layer will discourage burrowing. The
filter and riprap should extend at least 3 feet below the
water line. As the muskrat attempts to construct a burrow,
the sand and gravel of the filter layer caves in and thus
discourages den building. Heavy wire fencing laid flat
against the slope and extending above and below the
water line can also be effective. Eliminating or reducing
aquatic vegetation along the shoreline will discourage
muskrat habitation. Where muskrats have inhabited the
area, trapping is usually the most practical method of
removing them from a pond.

Hunting and Trapping Regulations


Because hunting and trapping rules change from
year to year, ODNR, Division of Wildlife authorities
at one of the following offices should be consulted
before taking any action.
Ashtabula
Williams

Lake

Lucas

Fulton

Ottawa

Geauga

Wood
Henry

Paulding

Putnam
Van Wert

Erie

Beaver
Beaver will try to plug spillways with their cuttings.
Routinely removing the cuttings is one way to alleviate
the problem. Trapping beaver may be done by the owner
during the appropriate season; however, the nearest
ODNR, Division of Wildlife, District Office or state
game protector should be contacted first.

Lorain
Portage

Huron

Seneca

Medina Summit

Hancock

Ashland
Wyandot

Crawford

Richland

Wayne

Stark

Allen
Hardin

Marion

Auglaize
Logan

Shelby

Holmes

Morrow

Jefferson

Licking

Clark

Greene

Pickaway

Montgomery

Warren

Guernsey

Fairfield

Fayette
Hocking

Clinton
Ross

Monroe

Washington

Highland

Brown

Noble
Morgan

Athens

Clermont
Pike

Belmont

Perry

Vinton
Hamilton

Harrison

Muskingum

Franklin

Madison

Tuscarawas

Coshocton

Champaign

Miami

Butler

Columbiana

Knox

Union
Delaware

Preble

Mahoning

Carroll

Mercer

Darke

Eliminating a Burrow
The recommended method of backfilling a burrow in an
embankment is mud-packing. This simple, inexpensive
method can be accomplished by placing one or two
lengths of metal stove or vent pipe in a vertical position
over the entrance of the den. Making sure that the pipe
connection to the den does not leak, the mud-pack mixture is then poured into the pipe until the burrow and pipe
are filled with the earth-water mixture. The pipe is
removed and dry earth is tamped into the entrance. The
mud-pack is made by adding water to a 90 percent earth
and 10 percent cement mixture until a slurry or thin
cement consistency is attained. All entrances should be
plugged with well-compacted earth and vegetation reestablished. Dens should be eliminated without delay
because damage from just one hole can lead to failure of
a dam or levee.

Trumbull

Cuyahoga

Sandusky

Defiance

Meigs
Jackson
Gallia

Adams
Scioto

Lawrence

Wildlife District One


1500 Dublin Road
Columbus 43215
Phone: (614) 644-3925
FAX (614) 644-3931
Wildlife District Two
952 Lima Avenue, Box A
Findlay 45840
Phone: (419) 424-5000
FAX (419) 422-4875

Wildlife District Five


1076 Old Springfield Pike
Xenia 45385
Phone: (937) 372-9261
FAX (937) 376-3011

Wildlife District Three


912 Portage Lakes Drive
In Sandusky
Akron 44319
305 East Shorline Drive
Phone: (330) 644-2293
Sandusky 44870
FAX (330) 644-8403
Phone: (419) 625-8062
Wildlife District Four
FAX (419) 625-6272
360 E. State Street
Athens 45701
In Fairport Harbor
Phone: (740) 594-2211
Phone: (440) 352-6100
FAX (740) 592-1626
FAX (440) 350-0250

Any other questions, comments concerns, or fact sheet


requests, should be directed to the Division of Water at
the following address:
Ohio Department of Natural Resources
Division of Water
Dam Safety Engineering Program
2045 Morse Road
Columbus, Ohio 43229-6693
Voice: (614) 265-6731 Fax: (614) 447-9503
Website: http://www.dnr.state.oh.us/water
Crest

Rodent Burrow Damage


DANGEROUSLY CLOSE BURROWS

Scarp

Muskrat Burrow
Groundhog Burrow

Water Level

Phreatic Surface

Bob Taft Governor

Samuel W. Speck Director

Dick Bartz Chief

R 7/05/99

Fact Sheet

Commonwealth of Pennsylvania Department of Environmental Protection


BUREAU OF WATERWAYS ENGINEERING

VEGETATION AND EROSION CONTROL ON DAMS


Problems with Trees and Brush Near Dams

Maintenance

Trees and brush on a dams earthen embankment, as


well as 10 to 20 feet along the downstream edge of the
embankment, can hide developing structural problems
and also create potential new problems.
Sudden
uprooting of trees by strong winds can result in the
displacement of a relatively large amount of
embankment material. This in turn can lower the crest
of the dam, reduce the effective width of the dam and
enhance seepage.
Falling trees also can cause
structural damage to concrete, steel, stone or timber
structures.

Grass cover should be routinely cut to provide a surface


that can be easily inspected. Trees and brush should
never be allowed to grow on or very near a dam!
Many older dams have very large trees growing on or
near them. Removal of trees, roots and brush should be
done under the direction of a qualified professional
engineer
knowledgeable
in
dam
safety and
maintenance.

The root systems of trees can be a potential hazard by


allowing seepage pathways to develop through a dam.
Trees eventually die and their roots decay and rot. A
network of channels is formed by decaying roots that
increases seepage within the dams embankment or
foundation. This seepage can develop into serious
piping (internal erosion) that removes the soil particles
from the embankment of the foundation, which can
ultimately lead to the failure of the dam.
Brush and woody vegetation can hinder the visual
inspection of dam surfaces. Sinkholes, animal burrows,
seeps and other irregularities can be obscured by trees
and brush. Woody vegetation can cause excessive
shade that can hinder the growth of a sturdy, dense
grass coverage. These affected areas are more prone
to surface erosion.

Erosion Control
Grass cover is a very effective and inexpensive way to
prevent the erosion of embankment surfaces. The
stems and root systems of grasses tend to trap fine
particles of soil, thus inhibiting the migration of these
particles. A good grass cover provides an excellent
means against erosion due to runoff caused by rains,
and can protect the embankment during limited
overtopping.

For more information contact:


Department of Environmental Protection
Bureau of Waterways Engineering
Division of Dam Safety
P.O. Box 8554
Harrisburg, PA 17105-8554
(717) 787-8568
For more information, visit DEPs website at
www.state.pa.us, Keyword: DEP Dam Safety.

DEP Regional Offices


Southeast Region

Southwest Region

Southcentral Region

2 East Main Street


Norristown, PA 19401
484-250-5900

400 Waterfront Drive


Pittsburgh, PA 15222-4745
412-442-4217

909 Elmerton Avenue


Harrisburg, PA 17110
717-705-4708

Counties: Bucks, Chester, Delaware,


Montgomery and Philadelphia

Counties: Allegheny, Armstrong, Beaver,


Cambria, Fayette, Greene, Indiana,
Somerset, Washington and Westmoreland

Counties: Adams, Bedford, Berks, Blair,


Cumberland, Dauphin, Franklin, Fulton,
Huntingdon, Juniata, Lancaster, Lebanon,
Mifflin, Perry and York

Northcentral Region

Northeast Region

Northwest Region

208 W. Third Street, Suite 101


Williamsport, PA 17701
570-327-3675

2 Public Square
Wilkes-Barre, PA 18711-0790
570-826-2511

230 Chestnut Street


Meadville, PA 16335-3481
814-332-6899

Counties: Bradford, Cameron, Clearfield,


Centre, Clinton, Columbia, Lycoming,
Montour, Northumberland, Potter, Snyder,
Sullivan, Tioga and Union

Counties: Carbon, Lackawanna, Lehigh,


Luzerne, Monroe, Northampton, Pike,
Schuylkill, Susquehanna, Wayne &
Wyoming

Counties: Butler, Clarion, Crawford, Elk,


Erie, Forest, Jefferson, Lawrence,
McKean, Mercer, Venango and Warren

Commonwealth of Pennsylvania
Edward G. Rendell, Governor
An Equal Opportunity Employer

Department of Environmental Protection


Kathleen A. McGinty, Secretary
3140-FS-DEP1909 Rev. 8/2003

On average, two dozen dams in the United States fail each year.

CA LI F O R N IA S
DA M SA F E T Y P R O G RAM :

Since 1970, significant dam failures have resulted in hundreds of

Safeguarding People & Property

THE CALIFORNIA CHALLENGE

lives lost and billions of dollars in property damage.


CALIFORNIA FAULTS

California has 1,250 state-regulated dams. Many of those dams are

Jurisdictional Dam

on the nations highest hazard list because they pose a significant

Active Faults

public safety threat due to their large size and proximity to major
population centers. Other potential risk factors include:

Many dams are located close to or on faults capable of


generating major earthquakes.

California has some of the most complex geology in the


world, which affects the design and performance of dams.

Californias dams are aging. Most are over 50 years old.

S o m e t h i n g H a d To B e D o n e
In 1928, the 205-foot-high St. Francis Dam in Southern California
failed. More than 12 billion gallons of water rushed down the
San Francisquito Canyon, demolishing 1,200 homes, washing
out 10 bridges, and killing approximately 450 people. The dam
had been designed and constructed just two years earlier
without any regulatory oversight.
This sudden and tragic dam failure, one of the worst disasters in
Californias history, resulted in the creation of Californias Dam Safety
Program in 1929. Although dam owners are responsible for the safety

Division of Safety of Dams

of their own dams, the Department of Water Resources Division of

2200 X Street, Suite 200

Safety of Dams (DSOD) is required by state law to regulate non-

Sacramento, CA 95818

federal publicly and privately owned dams to prevent dam failure.

916 227.4644
http://damsafety.water.ca.gov/

MAJOR BENEFITS, CONSIDERABLE RISKS

DIVISION OF SAFETY OF DAMS MORE


THAN JUST INSPECTIONS

THE SYSTEM WORKS BEST WHEN WE


WORK TOGETHER

conditions, water storage is critical. Dams

DSOD is composed of highly specialized engineers and geologists

DSOD is constantly developing and applying new technologies in

help reserve the water necessary for agricul-

that work closely with dam owners and their consulting engineers

dam design, seismic fortication, testing, and maintenance. We work

ture, hydroelectric power, recreational,

to ensure the safety of dams in California. Division engineers

in close cooperation with other state and national organizations

environmental protection, and a stable

independently review and evaluate designs of new dams which

concerned with dam safety and public protection to ensure the most

must meet state safety requirements. Enlargements and repairs

efficient use of our resources and to keep abreast of state-of-the-art

of existing dams are also thoroughly analyzed.

in dam engineering. When dam owners work in concert with DSOD,

Because of Californias seasonal and climatic

drinking water supply. They are also critical


tools in flood control. Along with their
many benefits, dams present formidable

St. Francis Dam during


failure, near Los
Angeles, CA (1928)

they benet from the collective experience of all of these organizations.

Division engineers and geologists perform frequent inspections

consequences if not properly designed,

of dams under construction to verify compliance with approved

Cooperation, communication, knowledge, action, and a constant

built, and maintained.

plans and specifications. The 1,250 state-regulated dams are

watchfulness will keep Californias dams, and its people, enjoying

All dam owners in California must be pre-

inspected at least once a year by DSOD engineers familiar with

the best protection possible.

pared for the inevitability of earthquakes

the history, performance, instrumentation, background, and

and flooding. However, even without largescale natural disasters, there are numerous
causes of failure that can occur under less

Baldwin Hills Dam after


failure, Los Angeles,
CA (1963)

unique details of each dam.


Although California dams are designed and maintained to the
highest standards in the country, our states seismic activity and

extreme conditions, including:

extreme rainfall in some areas require todays DSOD staff to be

Poor design

experts in how earthquakes and floods affect such structures.


Complex analyses are completed by engineers and geologists

Unsound construction

to predict dam performance during extreme conditions. Division

Inadequate maintenance
Age-related problems

engineers quickly respond to emergency situations, to assess


Teton Dam during
failure, Madison
County, Southeast
Idaho (1976)

Near failure of the Lower San Fernando Dam, San Fernando Valley, CA (1971)

performance and ensure downstream safety following natural


disaster type loading.

CLOSE CALL
During a 1971 earthquake, the near failure of the San Fernando
Dam increased the focus on seismic safety of dams. Over 80,000
people lived downstream of the dam at the time of the earthquake.
A DSOD water level restriction imposed before the earthquake,
in combination with quick action taken by DSOD and the owner,
helped to avert a major catastrophe.

DSOD engineers
perform field
inspections to
assess the dams
structural condition
and how well it
is maintained.

APPENDIX K
SAMPLE FEE STRUCTURES

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CASE 1: WEST VIRGINIA

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CASE 1: West Virginia Example:


Annual Registration Fees - Owners of existing dams holding certificates of
approval shall be assessed an annual registration fee. In accordance with
provisions of the Dam Control and Safety Act, West Virginia Code 22-147, existing certificates of approval will be extended for one year upon receipt of
the annual registration fee, an inspection report, a monitoring and emergency
action plan, and a maintenance plan; Provided that where an approved, up-todate: inspection report; monitoring and emergency action plan; and maintenance
plan are on file in the Dam Safety Section, and where no outstanding violation(s)
exist, then the certificate of approval will be extended without resubmission of the
foregoing documents upon receipt of the annual registration fee. The following
annual registration fees apply:
Low hazard potential dams shall be assessed fifty dollars.
Significant hazard potential dams shall be assessed seventy-five dollars.
High hazard potential dams shall be assessed one hundred dollars.
Any certificate of approval issued pursuant to W. Va. Code 22-14-17 and this
rule is void without notification to the person holding the certificate of approval
when the annual registration fee is more than one hundred eighty (180) days
past due. Resubmission of an application in accordance with section 5 of this rule
is required where a certificate has become void due to failure to pay the
appropriate annual registration fee within 180 days of the date due.